Senior Compliance Leader – Alternative Assets (Hybrid)

IQ-EQ; Fort Worth (TX); On-site; USD 100,000 - 135,000; Full time

Benefits offered by this job

Hybrid work flexibility

Job summary

IQ-EQ is seeking a qualified regulatory compliance professional to support investment adviser clients in the U.S., ensuring programs meet SEC Rules 206(4)-7 and 38a-1 and related laws. You will work directly with private equity and hedge fund clients under senior guidance.

You will update compliance programs for regulatory changes, lead client interactions, and oversee testing of internal controls. Strong knowledge of the Advisers Act and regulatory exams is required.

Qualifications

• 6 to 8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm—preferably with legal practice involving registered investment companies.
• You understand the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and can apply this knowledge effectively in compliance roles.
• You are familiar with SEC examination practices and ideally have hands-on experience with both actual and mock SEC exams.
• You possess knowledge of regulatory requirements from CFTC, NFA, and FINRA, which adds value to your compliance expertise.
• You’re equipped to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.

Responsibilities

• Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act, often independently with minimal input from senior team members.
• Lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies to ensure adherence to applicable regulations.
• Oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
• Conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
• Contribute to special projects and perform other compliance-related tasks as needed, helping maintain high standards across client engagements.

Skills

Regulatory compliance

Investment Advisers Act knowledge

SEC examination experience

CFTC/NFA/FINRA knowledge

Independent contributor

Education

Bachelor's degree

Job description

IQ-EQ is seeking a qualified regulatory compliance professional to support investment adviser clients in the U.S., ensuring programs meet SEC Rules 206(4)-7 and 38a-1 and related laws. You will work directly with private equity and hedge fund clients under senior guidance.

You will update compliance programs for regulatory changes, lead client interactions, and oversee testing of internal controls. Strong knowledge of the Advisers Act and regulatory exams is required.