Regulatory Compliance Manager — Alternative Assets (Hybrid)

IQ-EQ; Dallas (TX); Híbrido; USD 73.000 - 105.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Hybrid work schedule

401(k) with company match

Health benefits

Paid time off

Descripción de la vacante

IQ-EQ is hiring a Manager - Regulatory Compliance (Alternative Assets) in a hybrid Dallas-based role within the Client Services department. The candidate will manage engagements, ensure timely regulatory deliverables, and support examinations with minimal oversight from senior leadership.

The position requires 4+ years of compliance experience, deep knowledge of the Advisers/Investment Company Acts, and familiarity with SEC exams and other regulators like CFTC, NFA, and FINRA.

Formación

• 4+ years of compliance experience in investment management or related field.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with SEC exam practices and both actual and mock exams.

Responsabilidades

• Provide strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely, accurate completion of client deliverables and regulatory updates.
• Lead client trainings, mock regulatory exams, and support SEC/FINRA examinations.

Conocimientos

Compliance experience

Act knowledge (Advisers/Investment)

SEC examination practices

CFTC/NFA/FINRA regulations

Educación

Law degree or equivalent

Descripción del empleo

IQ-EQ is hiring a Manager - Regulatory Compliance (Alternative Assets) in a hybrid Dallas-based role within the Client Services department. The candidate will manage engagements, ensure timely regulatory deliverables, and support examinations with minimal oversight from senior leadership.

The position requires 4+ years of compliance experience, deep knowledge of the Advisers/Investment Company Acts, and familiarity with SEC exams and other regulators like CFTC, NFA, and FINRA.