Senior Regulatory & Compliance Leader - Alternative Assets

IQ-EQ; Illinois; Hybrid; USD 100,000 - 135,000; Full time

Benefits offered by this job

Paid time off

401(k) with company match

Health benefits

Hybrid work schedule

Paid parental leave

Job summary

IQ-EQ in the United States is seeking a regulatory compliance professional to support investment adviser clients, ensuring adherence to SEC Rules and other securities laws. The role involves updating compliance programs, working with top private equity and hedge fund firms, and applying experience from a registered investment adviser or law firm.

You will advise, train, review policies, mentor juniors, and participate in annual reviews and special projects, with a hybrid schedule and

Qualifications

• Bachelor's degree from a registered adviser, law firm, or related setting.
• 6–8 years of relevant compliance experience.
• Strong knowledge of SEC Rules 206(4)-7 and 38a-1.
• Familiarity with CFTC, NFA and FINRA regulations.
• Ability to work with top private equity and hedge fund clients.

Responsibilities

• Advise clients on compliance with key U.S. securities laws and regulations.
• Lead client interactions, trainings, and reviews of marketing materials and policies.
• Oversee and mentor junior team members in compliance functions.
• Conduct annual compliance reviews and testing of controls and surveillance.
• Contribute to special projects and maintain high client service standards.

Skills

Compliance experience

Regulatory knowledge

Client communication

Education

Bachelor's degree

Job description

IQ-EQ in the United States is seeking a regulatory compliance professional to support investment adviser clients, ensuring adherence to SEC Rules and other securities laws. The role involves updating compliance programs, working with top private equity and hedge fund firms, and applying experience from a registered investment adviser or law firm.

You will advise, train, review policies, mentor juniors, and participate in annual reviews and special projects, with a hybrid schedule and