Regulatory Compliance Lead – Alternative Assets

IQ-EQ; Chicago (IL); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

4 weeks PTO

401(k) with company match

Health benefits

Hybrid work schedule

Parental leave

Job summary

IQ-EQ in Chicago is seeking a Manager - Regulatory Compliance (Alternative Assets) to lead strategic compliance programs for clients in private markets. You will analyze complex regulatory issues, implement robust controls, and support regulatory exams including SEC and FINRA, with guidance from senior leadership.

This role emphasizes accuracy, problem-solving, and collaboration, mentoring junior staff, and contributing to firm initiatives such as business development and operational excellence

Qualifications

• 4+ years of compliance experience in investment management or related fields.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices; hands-on with actual and mock exams.
• Understanding of CFTC, NFA and FINRA requirements to guide clients.

Responsibilities

• Provide strategic compliance guidance with minimal oversight
• Ensure timely completion of annual reviews, filings, and policy updates
• Lead client trainings and mock regulatory exams; support SEC and FINRA examinations
• Stay updated on regulatory changes and develop internal controls
• Mentor junior staff and support business development and operational excellence

Skills

Compliance experience

Regulatory knowledge

SEC examinations

Leadership

Job description

IQ-EQ in Chicago is seeking a Manager - Regulatory Compliance (Alternative Assets) to lead strategic compliance programs for clients in private markets. You will analyze complex regulatory issues, implement robust controls, and support regulatory exams including SEC and FINRA, with guidance from senior leadership.

This role emphasizes accuracy, problem-solving, and collaboration, mentoring junior staff, and contributing to firm initiatives such as business development and operational excellence