Regulatory Compliance Manager, Alternative Assets (Hybrid)

Iq--e; Chicago (IL); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

PTO 4 weeks+

401(k) plan

Health benefits

Hybrid work schedule

Parental leave

Job summary

IQ-EQ is seeking a Manager of Regulatory Compliance (Alternative Assets) to lead compliance programs for clients in the private markets and traditional investment sectors. The role demands accuracy, independent problem-solving, and the ability to support exams and ongoing regulatory changes across multiple jurisdictions.

You will mentor junior staff and align client deliverables with firm-wide initiatives, including business development and operational excellence, all within a hybrid work

Qualifications

• 4+ years of compliance experience from relevant financial services environments.
• Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Familiarity with SEC examination practices and mock exams.

Responsibilities

• Provide strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely completion of client deliverables including annual reviews and regulatory filings.
• Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations.
• Monitor regulatory changes and help clients develop internal controls and practical solutions.
• Support firm-wide initiatives including business development and operational excellence.

Skills

Compliance expertise

Job description

IQ-EQ is seeking a Manager of Regulatory Compliance (Alternative Assets) to lead compliance programs for clients in the private markets and traditional investment sectors. The role demands accuracy, independent problem-solving, and the ability to support exams and ongoing regulatory changes across multiple jurisdictions.

You will mentor junior staff and align client deliverables with firm-wide initiatives, including business development and operational excellence, all within a hybrid work