Senior Manager - Regulatory and Compliance (Alternative Assets)

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

Benefits offered by this job

PTO

401(k) match

Health benefits

Job summary

IQ-EQ is seeking a Senior Manager for Regulatory and Compliance (Alternative Assets) in the United States. You will provide regulatory compliance support to investment adviser clients, ensuring adherence to SEC Rules 206(4)-7 and 38a-1 and other securities laws.

You will lead client interactions, mentor junior staff, and manage annual reviews, while collaborating on complex compliance projects to maintain high standards across engagements.

Qualifications

• Bachelor’s degree required; 6–8 years of relevant compliance experience in 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; applicable SEC examination practices.
• Familiarity with regulatory requirements from CFTC, NFA, and FINRA; ability to apply this knowledge in compliance roles.
• Ability to work independently and provide strategic regulatory guidance for clients.

Responsibilities

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

Skills

Regulatory compliance

SEC rules knowledge

Investment compliance

Independent work

Mentor junior staff

Education

Bachelor's degree

Job description

Senior Manager - Regulatory and Compliance (Alternative Assets)

• Full-time
• Department: Client Services
• Type of Hire: Permanent

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.Above all, what makes us different is our people.Operating as trusted partners to our clients,we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.

We’re driven by our Group purpose, to power people and possibilities.

Provide regulatory compliance support to IQEQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a-1, along with other applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices. Work directly with top private equity and hedge fund firms in the alternative asset industry, under the guidance of seasoned professionals. Key tasks involve assisting, performing, and reviewing various compliance-related activities to facilitate the firm’s service offerings.

What you’ll do

• You’ll 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.
• You’ll 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.
• You’ll oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
• You’ll conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
• You’ll contribute to special projects and perform other compliance-related tasks as needed, helping maintain high standards across client engagements.

What we offer

• IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance.
• Employees receive generous paid time off, including 4 weeks ofPTO that increases over time, sick time and paid holidays, and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility).
• Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans.
• Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment.
• The salary for this position will be dependent on experience and location ($100,000-$135,000).

• You have a bachelor’s degree and bring 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.

Our commitment to you and the environment

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential.Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.