Senior Compliance Lead — Alternative Assets (Hybrid)

IQ-EQ; Texas; Ibrido; USD 100.000 - 135.000; Tempo pieno

Vantaggi offerti da questo lavoro

4 weeks PTO

401(k) plan

Health benefits

Parental leave

Hybrid schedule

Descrizione del lavoro

IQ-EQ is seeking a Senior Compliance Professional in the United States to provide regulatory compliance support for investment adviser clients. You will ensure programs meet SEC Rules 206(4)-7 and 38a-1, update policies, and engage with top private equity and hedge fund firms under guidance from seasoned professionals.

You will advise on the Securities Act, Exchange Act, and Advisers Act, mentor junior staff, and conduct annual reviews and testing of controls.

Competenze

• Bachelor's degree and 6–8 years of relevant compliance experience.
• Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Familiarity with SEC examination practices and SEC exams.
• Knowledge of CFTC, NFA, and FINRA requirements.
• Ability to handle complex compliance responsibilities independently.

Mansioni

• Advise clients on compliance with key US securities laws (Securities Act, Exchange Act, Advisers Act).
• Lead and support client interactions, including calls, trainings, and reviews of filings and policies.
• Oversee and mentor junior team members in compliance tasks (trading reviews, email monitoring, surveillance).
• Conduct and manage annual compliance reviews and testing of internal controls.
• Contribute to special projects and other compliance-related tasks.

Conoscenze

Regulatory compliance

SEC knowledge

Independent work

Mentoring juniors

Formazione

Bachelor's degree

Descrizione del lavoro

IQ-EQ is seeking a Senior Compliance Professional in the United States to provide regulatory compliance support for investment adviser clients. You will ensure programs meet SEC Rules 206(4)-7 and 38a-1, update policies, and engage with top private equity and hedge fund firms under guidance from seasoned professionals.

You will advise on the Securities Act, Exchange Act, and Advisers Act, mentor junior staff, and conduct annual reviews and testing of controls.