Head of Regulatory and Compliance Services

Job Description

Role Overview:
The Head of Compliance will lead the firm’s compliance landscape, focusing on crafting, implementing, and assessing programs for our clientele. This individual must thrive in a fast-paced environment, ensuring top-tier accuracy and making informed decisions to meet rigorous timelines.


  •  Develop and maintain compliance programs for a variety of financial services firms.
  • Supervise staff in formulating compliance guidelines and procedures.
  • Conduct compliance audits, training sessions, and register clients with regulatory bodies.
  • Spearhead mock regulatory exams and provide pivotal support during SEC and FINRA evaluations.
  • Mentor junior staff, fostering a culture of continuous learning and community.
  • Drive business growth initiatives, aligning with Commercial and Sales teams, and manage departmental budgets and strategic plans.
  • Champion operational excellence by streamlining processes, identifying bottlenecks, and recommending innovative solutions.



  • Over 15 years in compliance, preferably at an investment adviser, law firm, or consulting entity.
  • Deep understanding of the IA Act of 1940, ICA of 1940, and SEC Exam practices. CFTC/NFA and FINRA knowledge is a bonus.
  • Stellar track record in team and client relationship management.

Key Goals:

  • Boost department revenue and solidify IQEQ’s stature in the Regulatory and Compliance arena.
  • Spearhead thought leadership campaigns and business process improvement projects.
  • Prioritize client satisfaction, efficient workflows, and market expansion endeavors.

The ideal Head of Compliance will be a visionary, detail-oriented, and innovative, consistently pushing the boundaries of excellence.


Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.

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