Manager- Regulatory Compliance (Alternative Assets)

IQ-EQ • Dallas, TX

83d • $72,000 - $110,000

About The Position

This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.

Requirements

• 4 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with SEC examination practices and preferably hands-on experience with both actual and mock exams.
• Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
• Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date.

Responsibilities

• Help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues.
• Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence beyond client work.

Benefits

• Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays.
• Financial wellness supported through a 401(k) plan with a company match (subject to eligibility).
• Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans.
• Paid parental leave.
• Hybrid work schedule promoting both personal and professional fulfillment.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 501-1,000 employees