Senior Compliance Lead - Alternative Assets (Hybrid)

IQ-EQ; New York (NY); Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

401(k) with company match

Hybrid work schedule

4 weeks PTO

Health benefits

Job summary

IQ-EQ in New York seeks a regulatory compliance professional to support investment adviser clients, ensuring their programs meet SEC Rules 206(4)-7 and 38a-1, along with state and federal securities laws. You will maintain and update compliance programs reflecting regulatory changes and best practices.

You will work with top private equity and hedge fund firms, conduct reviews, mentor junior staff, and lead annual testing of controls, while contributing to high-standard client engagements and

Qualifications

• Bachelor’s degree and 6–8 years of compliance experience.
• Knowledge of the Investment Advisers Act and Investment Company Act.
• Familiarity with SEC examination practices.
• Understanding of CFTC, NFA, and FINRA requirements.
• Ability to work independently on complex compliance tasks.

Responsibilities

• Advise clients on compliance with U.S. securities laws.
• Lead client interactions, trainings, and reviews of materials and filings.
• Mentor junior team members in compliance tasks.
• Conduct annual compliance reviews and testing of controls.
• Support special projects and maintain high standards across engagements.

Skills

Regulatory compliance

SEC rules knowledge

Team mentoring

Client interactions

Education

Bachelor's degree

Job description

IQ-EQ in New York seeks a regulatory compliance professional to support investment adviser clients, ensuring their programs meet SEC Rules 206(4)-7 and 38a-1, along with state and federal securities laws. You will maintain and update compliance programs reflecting regulatory changes and best practices.

You will work with top private equity and hedge fund firms, conduct reviews, mentor junior staff, and lead annual testing of controls, while contributing to high-standard client engagements and