Regulatory Compliance Manager – Alternative Assets (Hybrid)

Iq--e; Dallas (TX); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

Hybrid schedule

PTO 4 weeks+

401(k) match

Health benefits

Paid holidays

Job summary

IQ-EQ is seeking a Manager - Regulatory Compliance (Alternative Assets) to oversee client engagements and develop robust compliance programs. The role requires deep regulatory knowledge and independence to guide client firms through complex regimes.

Based in the Dallas area, this permanent, full-time position offers a hybrid work schedule, a strong benefits package, and opportunities to contribute to exams and ongoing regulatory programs across advisory clients.

Qualifications

• 4+ years of compliance experience from a registered investment adviser, law firm, investment consulting firm, or related practice.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices, including actual and mock exams.
• Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA.
• Apply regulatory knowledge to guide clients and ensure robust compliance programs.

Responsibilities

• Provide strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely and accurate completion of client deliverables, including annual reviews and regulatory filings.
• Lead client trainings, mock regulatory exams, and support SEC and FINRA examinations.
• Stay informed on regulatory changes and advise on internal controls.
• Mentor junior staff and support firm-wide initiatives such as business development and operational excellence.

Skills

Regulatory compliance

SEC exam knowledge

Investment advisers act

Client guidance

Job description

IQ-EQ is seeking a Manager - Regulatory Compliance (Alternative Assets) to oversee client engagements and develop robust compliance programs. The role requires deep regulatory knowledge and independence to guide client firms through complex regimes.

Based in the Dallas area, this permanent, full-time position offers a hybrid work schedule, a strong benefits package, and opportunities to contribute to exams and ongoing regulatory programs across advisory clients.