Regulatory Compliance Manager, Alternative Assets (Hybrid)

IQ-EQ; Illinois; Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

Hybrid work schedule

401(k) plan with company match

Health benefits

Job summary

IQ-EQ, a global investor services group, seeks a seasoned compliance professional in the United States to lead client engagements, develop robust compliance programs, and support regulatory exams.

You will work with SEC, FINRA, and other regulators, mentor junior staff, and help deliver timely, accurate client deliverables while benefiting from a hybrid work model and a comprehensive benefits package.

Qualifications

• 4+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams.
• Understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.

Responsibilities

• Manage client engagements with minimal oversight from senior leadership, providing strategic compliance guidance.
• Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures.
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• Stay updated on regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues.
• Foster a collaborative team culture, mentor junior staff, and support initiatives such as business development and operational excellence.

Skills

Regulatory knowledge

SEC/FINRA experience

Analytical thinking

Job description

IQ-EQ, a global investor services group, seeks a seasoned compliance professional in the United States to lead client engagements, develop robust compliance programs, and support regulatory exams.

You will work with SEC, FINRA, and other regulators, mentor junior staff, and help deliver timely, accurate client deliverables while benefiting from a hybrid work model and a comprehensive benefits package.