Senior Compliance Lead – Alternative Assets (Hybrid)

IQ-EQ; California; Híbrido; USD 100.000 - 135.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

401(k) match

Health benefits

PTO and holidays

Parental leave

Hybrid work model

Descripción de la vacante

IQ-EQ is a leading Investor Services group delivering regulatory compliance support to investment adviser clients, ensuring their programs meet SEC Rules 206(4)-7 and 38a-1 and other securities laws. You will work with top private equity and hedge fund firms, under guidance from experienced professionals.

You’ll advise on key U.S. securities laws, lead client interactions, and mentor junior staff while managing annual reviews and various compliance activities.

Formación

• 6 to 8 years of relevant compliance experience in an investment adviser, law firm, or investment consulting firm.
• Knowledge of the Investment Advisers Act and Investment Company Act of 1940 and applying this knowledge in compliance roles.
• Familiarity with SEC examination practices and hands-on experience with actual and mock SEC exams.
• Knowledge of CFTC, NFA, and FINRA regulatory requirements to support compliance expertise.

Responsabilidades

• Advise clients on compliance with the Securities Act, Exchange Act, Advisers Act and related regulations.
• Lead and support client interactions, including calls, trainings, and reviews of marketing materials and regulatory filings.
• Oversee and mentor junior team members in personal trading reviews, email monitoring, and surveillance of trading activities.
• Conduct and manage annual compliance reviews and testing of internal controls and surveillance programs.
• Contribute to special projects and other compliance-related tasks to maintain high client engagement standards.

Conocimientos

Compliance experience

Regulatory knowledge

SEC examinations

Independent work

Investment adviser industry knowledge

Educación

Bachelor's degree

Descripción del empleo

IQ-EQ is a leading Investor Services group delivering regulatory compliance support to investment adviser clients, ensuring their programs meet SEC Rules 206(4)-7 and 38a-1 and other securities laws. You will work with top private equity and hedge fund firms, under guidance from experienced professionals.

You’ll advise on key U.S. securities laws, lead client interactions, and mentor junior staff while managing annual reviews and various compliance activities.