Senior Regulatory Compliance Manager – Alternative Assets

IQ-EQ; Dallas (TX); Hybrid; USD 73,000 - 105,000; Full time

Benefits offered by this job

PTO

401(k) match

Health benefits

Hybrid schedule

Parental leave

Job summary

IQ-EQ is hiring a Manager – Regulatory Compliance (Alternative Assets) to lead strategic compliance guidance for clients in the alternative and traditional investment sectors. You will analyze complex issues, design and test programs, and oversee client deliverables while supporting regulatory exams and outsourced CCO functions.

The role requires 4+ years of compliance experience, strong knowledge of key acts, and familiarity with SEC, CFTC, NFA, and FINRA frameworks.

Qualifications

• 4+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or practice in registered investment companies

Responsibilities

• Analyze complex compliance issues and develop, implement, and test compliance programs for clients in alt and traditional investments
• Lead client engagements with strategic compliance guidance with minimal oversight
• Ensure timely and accurate client deliverables including annual reviews, regulatory filings, and updates to policies
• Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations
• Stay updated on regulatory changes and guide clients in developing internal controls and practical solutions

Skills

Regulatory compliance

Investment advisory act knowledge

SEC examination experience

CFTC/NFA/FINRA knowledge

Client advisory

Job description

IQ-EQ is hiring a Manager – Regulatory Compliance (Alternative Assets) to lead strategic compliance guidance for clients in the alternative and traditional investment sectors. You will analyze complex issues, design and test programs, and oversee client deliverables while supporting regulatory exams and outsourced CCO functions.

The role requires 4+ years of compliance experience, strong knowledge of key acts, and familiarity with SEC, CFTC, NFA, and FINRA frameworks.