Senior Manager- Regulatory Compliance (Alternative Assets)
About The Position
Provide regulatory compliance support to IQEQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a-1, along with other applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices. Work directly with top private equity and hedge fund firms in the alternative asset industry, under the guidance of seasoned professionals. Key tasks involve assisting, performing, and reviewing various compliance-related activities to facilitate the firm’s service offerings.
Requirements
- You have a bachelor’s degree and bring 6 to 8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm—preferably with legal practice involving registered investment companies.
- You understand the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and can apply this knowledge effectively in compliance roles.
- You are familiar with SEC examination practices and ideally have hands-on experience with both actual and mock SEC exams.
- You possess knowledge of regulatory requirements from CFTC, NFA, and FINRA, which adds value to your compliance expertise.
- You’re equipped to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.
Responsibilities
- Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act, often independently with minimal input from senior team members.
- Lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies to ensure adherence to applicable regulations.
- Oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
- Conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
- Contribute to special projects and perform other compliance-related tasks as needed, helping maintain high standards across client engagements.
Benefits
- IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance.
- Employees receive generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility).
- Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans.
- Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment.
- The salary for this position will be dependent on experience and location ($115,000-$135,000).
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Number of Employees
5,001-10,000 employees
