Senior Compliance Manager - Alternative Assets (Hybrid)

Iq--e; Chicago (IL); Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

Hybrid work schedule

PTO 4 weeks

Health benefits

401(k) plan

Parental leave

Job summary

IQ-EQ is seeking a Senior Manager- Regulatory and Compliance (Alternative Assets) to provide regulatory compliance support to investment adviser clients. You will ensure programs meet SEC rules and other securities laws, update policies with regulatory changes, and work with top private equity and hedge fund firms under experienced supervision.

You will also advise on compliance with the Advisers Act, Act of 1940, and related requirements, overseeing audits and reviews while mentoring junior

Qualifications

• Bachelor's degree and 6–8 years of compliance experience.
• Familiar with the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• Knowledge of SEC examination practices and hands-on experience preferred.
• Understanding of CFTC, NFA, and FINRA regulatory requirements.
• Ability to work independently and provide regulatory oversight for clients.

Responsibilities

• Advise clients on compliance with key U.S. securities laws and regulations.
• Lead and support client interactions, including calls, trainings, and reviews of policies.
• Oversee and mentor junior team members in compliance functions (trading surveillance, monitoring).
• Conduct annual compliance reviews and testing of internal controls.
• Contribute to special projects and other compliance-related tasks as needed.

Skills

Regulatory compliance

Securities laws

Leadership

Client engagement

Education

Bachelor's degree

Job description

IQ-EQ is seeking a Senior Manager- Regulatory and Compliance (Alternative Assets) to provide regulatory compliance support to investment adviser clients. You will ensure programs meet SEC rules and other securities laws, update policies with regulatory changes, and work with top private equity and hedge fund firms under experienced supervision.

You will also advise on compliance with the Advisers Act, Act of 1940, and related requirements, overseeing audits and reviews while mentoring junior