Manager - Regulatory Compliance (Alternative Assets)

IQ-EQ; Texas; Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

Hybrid work schedule

401(k) with company match

Health benefits (medical, dental, and视

Paid time off and holidays

Job summary

IQ-EQ, a global investor services group, seeks an experienced compliance professional in Texas to lead client engagements and develop robust regulatory programs. You will oversee annual reviews, filings, and policy updates while training teams and supporting SEC/FINRA examinations.

The role emphasizes staying ahead of regulatory changes, building internal controls, and delivering practical compliance solutions to complex issues with a hybrid work approach.

Qualifications

• 4+ years of compliance experience, preferably from regulated investment entities.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with SEC examination practices and mock examinations.
• Understanding of CFTC, NFA, and FINRA requirements.
• Ability to translate regulatory knowledge into practical client solutions.

Responsibilities

• You’ll 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 policy updates.
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• Monitor regulatory changes and guide clients in developing internal controls and practical compliance solutions.
• Foster a collaborative team culture and support firm-wide initiatives such as business development and operational excellence.

Skills

Compliance experience

Investment Advisers Act knowledge

SEC examination experience

Regulatory frameworks (CFTC, NFA, FINR

Job description

ABOUT IQ-EQ

Is a global investor services group with deep expertise in private markets. We support investment managers, asset owners and global businesses with the administration, compliance, governance, data and reporting that their structures depend on.

Across 25 jurisdictions, our 6,500+ professionals combine technical strength, connected technology and human understanding – the IQ and the EQ – to free clients from operational complexity and give them the peace of mind to focus on their core business activities.

Our IQ is our technical, regulatory and operational expertise, underpinned by data, technology and coordinated global delivery. Our EQ is our human partnership: understanding the business behind the numbers, the culture behind the structures and the individuals behind the screens.

With more than US$950 billion of assets under administration, our global client base includes 13 of the world’s top 15 private equity firms* and 19 of the top 25 private debt firms**.

One relationship connects our clients to the right expertise as needs evolve, helping them move forward with clarity and confidence, wherever they operate.

To find out more about IQ-EQ visit iqeq.com

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.

What you’ll do

• You're helpmanage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
• You’re responsible for ensuringtimely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
• You will lead client trainings, mock regulatory exams, and provide hands‑on support during SEC and FINRA examinations
• You’ll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
• You will help foster a collaborative team culture, mentor junior staff, and support firm‑wide initiatives such as business development and and operational excellence beyond client work

What we offer

• 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 ofPTO 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 ($73,000-$105,000).

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

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long‑term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing we impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hy­brid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.

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