Regulatory & Compliance Lead - Alternative Assets (Hybrid)

Iq--e; San Francisco (CA); On-site; USD 100,000 - 135,000; Full time

Benefits offered by this job

4 weeks PTO + holidays

401(k) plan with company match

Health benefits (medical/dental/vision

Hybrid work schedule

Job summary

SmartRecruiters, Inc. seeks a Senior Manager- Regulatory and Compliance (Alternative Assets) to provide regulatory support to investment adviser clients, ensuring compliance programs meet SEC rules and other securities laws.

You will work with private equity and hedge funds under expert guidance, shaping compliance programs and reviewing various activities. You will lead client interactions, training sessions, and policy reviews, while mentoring junior staff in surveillance and reporting.

Qualifications

• Bachelor's degree required.
• 6–8 years of relevant compliance experience.
• Knowledge of SEC rules and securities laws.
• Familiarity with CFTC/NFA/FINRA regs.

Responsibilities

• Advise clients on compliance with key U.S. securities laws (Act, Exchange Act, Advisers Act).
• Lead and support client interactions, training sessions, and reviews of materials to ensure regulatory adherence.
• Oversee junior team members in compliance functions like trading reviews and surveillance.
• Conduct annual compliance reviews and testing of internal controls and surveillance programs.
• Contribute to special projects and other compliance tasks as needed.

Skills

Regulatory compliance

SEC regulations

Advisers Act

Investment Company Act

CFTC/NFA/FINRA

Education

Bachelor's degree

Job description

SmartRecruiters, Inc. seeks a Senior Manager- Regulatory and Compliance (Alternative Assets) to provide regulatory support to investment adviser clients, ensuring compliance programs meet SEC rules and other securities laws.

You will work with private equity and hedge funds under expert guidance, shaping compliance programs and reviewing various activities. You will lead client interactions, training sessions, and policy reviews, while mentoring junior staff in surveillance and reporting.