Senior Compliance Lead, Alternative Assets & SEC

Iq--e; New York (NY); Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

PTO 4 weeks

401(k) plan

Health benefits

Hybrid work schedule

Job summary

IQ-EQ is seeking a Senior Manager- Regulatory and Compliance (Alternative Assets) in New York. The role focuses on advising on U.S. securities laws, leading client interactions, and mentoring junior staff within a global investor services environment.

You will conduct annual reviews, oversee surveillance programs, and contribute to strategic compliance initiatives, with a strong emphasis on independence and high standards.

Qualifications

• Bachelor's degree and 6–8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm.

Responsibilities

• Advise clients on compliance with key U.S. securities laws (Securities Act, Exchange Act, Advisers Act).
• Lead and support client interactions, training sessions, and reviews of materials and policies for regulatory adherence.
• Oversee and mentor junior team members in compliance functions (personal trading reviews, email monitoring, surveillance).
• Conduct annual compliance reviews and testing of internal controls and surveillance programs.
• Contribute to special projects and other compliance tasks to maintain high standards across client engagements.

Skills

Regulatory compliance

SEC Rules 206(4)-7

Advisers Act

CFTC/NFA/FINRA knowledge

Education

Bachelor's degree

Job description

IQ-EQ is seeking a Senior Manager- Regulatory and Compliance (Alternative Assets) in New York. The role focuses on advising on U.S. securities laws, leading client interactions, and mentoring junior staff within a global investor services environment.

You will conduct annual reviews, oversee surveillance programs, and contribute to strategic compliance initiatives, with a strong emphasis on independence and high standards.