Hybrid Regulatory Compliance Manager - Alternative Assets

IQ-EQ

Chicago (IL)

Hybrid

USD 73,000 - 105,000

Full time

5 days ago

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Benefits offered by this job

401(k) match

Hybrid work schedule

Paid time off

Job summary

IQ-EQ is hiring a Manager – Regulatory Compliance (Alternative Assets) in Chicago. You will analyze complex compliance issues, develop and test programs, and support regulatory exams for clients in alternative and traditional assets.

You will lead engagements, ensure timely deliverables and train clients while maintaining up-to-date knowledge of regulatory changes and internal controls. A hybrid schedule and growth opportunities are offered.

Qualifications

4+ years of compliance experience, preferably in investment advisers or related firms.
Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Experience with SEC examinations and mock exams is preferred.
Familiarity with CFTC, NFA and FINRA regulatory requirements.

Responsibilities

Manage client engagements with minimal oversight from senior leadership.
Ensure timely, accurate completion of annual reviews, filings, and policy updates.
Lead client trainings, mock regulatory exams, and support during SEC/FINRA examinations.
Track regulatory changes and help clients build internal controls and compliant programs.
Mentor junior staff and support firm initiatives like business development and operational excellence.