Regulatory & Compliance Leader - Alternative Assets

IQ-EQ; Dallas (TX); Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

PTO

401(k) match

Health benefits

Job summary

IQ-EQ is seeking a Senior Manager for Regulatory and Compliance (Alternative Assets) in the United States. You will provide regulatory compliance support to investment adviser clients, ensuring adherence to SEC Rules 206(4)-7 and 38a-1 and other securities laws.

You will lead client interactions, mentor junior staff, and manage annual reviews, while collaborating on complex compliance projects to maintain high standards across engagements.

Qualifications

• Bachelor’s degree required; 6–8 years of relevant compliance experience in a registered investment adviser, law firm, or investment consulting firm.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940; applicable SEC examination practices.
• Familiarity with regulatory requirements from CFTC, NFA, and FINRA; ability to apply this knowledge in compliance roles.
• Ability to work independently and provide strategic regulatory guidance for clients.

Responsibilities

• Advise clients on compliance with key U.S. securities laws (Securities Act, Exchange Act, Advisers Act).
• Lead and support client interactions, including training sessions and reviews of materials to ensure regulatory adherence.
• Oversee and mentor junior team members in compliance functions (personal trading reviews, email monitoring, surveillance).
• Conduct and manage annual compliance reviews and testing to evaluate internal controls and surveillance programs.
• Contribute to special projects and other compliance tasks to uphold high standards across client engagements.

Skills

Regulatory compliance

SEC rules knowledge

Investment compliance

Independent work

Mentor junior staff

Education

Bachelor's degree

Job description

IQ-EQ is seeking a Senior Manager for Regulatory and Compliance (Alternative Assets) in the United States. You will provide regulatory compliance support to investment adviser clients, ensuring adherence to SEC Rules 206(4)-7 and 38a-1 and other securities laws.

You will lead client interactions, mentor junior staff, and manage annual reviews, while collaborating on complex compliance projects to maintain high standards across engagements.