Senior Regulatory Compliance Lead – Private Funds

IQ-EQ; California; Hybrid; USD 160,000 - 180,000; Full time

Benefits offered by this job

PTO & holidays

401(k) with company match

Health benefits

Parental leave

Hybrid work schedule

Job summary

IQ-EQ, a global investor services group, seeks a Senior Compliance Director in California to lead client engagements and craft robust compliance programs. You will guide regulatory exams and support training, with a focus on governance and effective controls.

Ideal candidates bring 10+ years of experience, strong regulatory knowledge, and familiarity with SEC, CFTC, NFA, and FINRA frameworks. Hybrid work and a comprehensive benefits package are offered.

Qualifications

• 10+ years of compliance experience, ideally from a registered investment adviser, law firm, or investment consulting firm.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices and hands-on experience with exams.
• Understanding of CFTC, NFA, and FINRA requirements and related frameworks.

Responsibilities

• Independently manage client engagements and provide strategic compliance guidance.
• Ensure timely and accurate completion of client deliverables and regulatory filings.
• Lead client trainings, mock regulatory exams, and support during SEC/FINRA examinations.
• Monitor regulatory changes and advise on internal controls and practical solutions.
• Mentor junior staff and support firm-wide initiatives such as business development.

Skills

Compliance leadership

Regulatory knowledge

Client management

Training delivery

Policy development

Job description

IQ-EQ, a global investor services group, seeks a Senior Compliance Director in California to lead client engagements and craft robust compliance programs. You will guide regulatory exams and support training, with a focus on governance and effective controls.

Ideal candidates bring 10+ years of experience, strong regulatory knowledge, and familiarity with SEC, CFTC, NFA, and FINRA frameworks. Hybrid work and a comprehensive benefits package are offered.