Manager, Regulatory Compliance – Alternative Assets (Hybrid)

IQ-EQ; New York (NY); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

Hybrid work schedule

401(k) with company match

Health benefits

PTO and holidays

Parental leave and wellness

Job summary

IQ-EQ is seeking a Manager – Regulatory Compliance (Alternative Assets) in New York. The role analyzes complex compliance issues, develops, implements, and tests programs for clients in the alternative and traditional investment sectors.

You will lead client engagements, ensure timely deliverables, train staff, and support SEC and FINRA examinations while monitoring regulatory changes and advising on internal controls.

Qualifications

• 4+ years of compliance experience in investment environments.
• Solid knowledge of the Investment Advisers Act and the Investment Company Act.
• Experience with SEC examination practices (actual or mock exams) is preferred.
• Familiarity with CFTC, NFA and FINRA requirements and guidance.
• Ability to apply regulatory knowledge to improve client compliance programs.

Responsibilities

• Analyze complex compliance issues and develop programs for clients in alt assets and traditional investments.
• Lead client engagements with minimal oversight from senior leadership.
• Ensure timely, accurate completion of annual reviews, regulatory filings, and policy updates.
• Lead client trainings and mock regulatory exams; support SEC/FINRA examinations.
• Foster collaboration, mentor junior staff, and support firm-wide initiatives.

Skills

Compliance experience

Investment Acts knowledge

SEC examination experience

Regulatory frameworks (CFTC, NFA, FINR

Client guidance & advisory

Job description

IQ-EQ is seeking a Manager – Regulatory Compliance (Alternative Assets) in New York. The role analyzes complex compliance issues, develops, implements, and tests programs for clients in the alternative and traditional investment sectors.

You will lead client engagements, ensure timely deliverables, train staff, and support SEC and FINRA examinations while monitoring regulatory changes and advising on internal controls.