Regulatory Compliance Manager - Alternative Assets (Hybrid)

IQ-EQ; New York (NY); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

401(k) with company match

Generous PTO

Health, dental, vision

Parental leave

Hybrid work schedule

Job summary

IQ-EQ in New York seeks a Manager - Regulatory Compliance (Alternative Assets) to lead complex compliance programs for clients in the alternative and traditional investment sectors.

You will analyze regulatory issues, implement robust compliance programs, and support regulatory exams while mentoring junior staff in a hybrid work environment.

The role offers a comprehensive benefits package and a salary range of $73,000–$105,000, commensurate with experience and location.

Qualifications

• 4+ years of compliance experience in investment management or related legal/compliance roles.
• Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act.
• Familiar with SEC examination practices; hands-on with actual and mock exams.

Responsibilities

• Provide strategic compliance guidance with minimal oversight from senior leadership.
• Ensure timely, accurate completion of client deliverables, including annual reviews, regulatory filings, and policy updates.
• Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations.
• Stay on top of regulatory changes; guide clients in developing internal controls and practical solutions.
• Mentor junior staff and support firm-wide initiatives such as business development and operational excellence.

Skills

Regulatory knowledge

IA Act 1940

SEC examinations

FINRA/NFA rules

Leadership/mentoring

Job description

IQ-EQ in New York seeks a Manager - Regulatory Compliance (Alternative Assets) to lead complex compliance programs for clients in the alternative and traditional investment sectors.

You will analyze regulatory issues, implement robust compliance programs, and support regulatory exams while mentoring junior staff in a hybrid work environment.

The role offers a comprehensive benefits package and a salary range of $73,000–$105,000, commensurate with experience and location.