Senior Compliance Leader, Alternative Assets (Hybrid)

IQ-EQ

New York (NY)

Hybrid

USD 100,000 - 135,000

Full time

19 hours ago

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Benefits offered by this job

PTO 4 weeks + holidays

401(k) match

Health benefits

Hybrid work schedule

Parental leave

Job summary

IQ-EQ in New York is seeking an experienced regulatory compliance professional to support investment adviser clients, ensuring programs meet SEC Rules 206(4)-7 and 38a-1, along with state and federal securities laws. You will lead client interactions, training sessions, reviews of filings, and surveillance programs.

The role requires strong knowledge of the Advisers Act and Investment Company Act, and experience with SEC exams, CFTC/NFA/FINRA rules.

Qualifications

Bachelor’s degree and 6–8 years of compliance experience from a registered investment adviser, law firm, or investment consulting firm.
Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Familiarity with SEC examination practices and regulatory requirements (CFTC, NFA, FINRA).

Responsibilities

Provide regulatory compliance support to IQ-EQ’s investment adviser clients to meet SEC Rules 206(4)-7 and 38a-1 and related laws.
Advise clients on compliance with the Securities Act, Exchange Act, and Advisers Act, often independently.
Lead client interactions, training sessions, and reviews of marketing materials and regulatory filings.
Oversee and mentor junior team members in compliance tasks and surveillance activities.
Conduct annual compliance reviews and testing of internal controls and surveillance programs.