Senior Regulatory Compliance Manager-Alternatives (Hybrid)

Iq--e

New York (NY)

Hybrid

USD 73,000 - 105,000

Full time

8 days ago

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Benefits offered by this job

PTO 4 weeks+

401(k) plan with company match

Health benefits (medical, dental, etc

Hybrid work schedule

Parental leave

Job summary

IQ-EQ is seeking a Manager - Regulatory Compliance (Alternative Assets) to lead client engagements with strong regulatory expertise. You will guide compliance programs, oversee annual reviews and regulatory filings, and support SEC/FINRA examinations. The role requires independent problem-solving and collaboration with senior leadership.

You will mentor junior staff, stay updated on evolving rules across SEC, CFTC, NFA and FINRA, and help drive operational excellence in a hybrid work environment.

Qualifications

4+ years of compliance experience, preferably with registered investment advisers, law firms, or investment consultants.
Strong knowledge of investment company acts and SEC/FINRA frameworks.

Responsibilities

Provide strategic compliance guidance to client engagements with minimal oversight.
Ensure timely, accurate completion of annual reviews, regulatory filings, and policy updates.
Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations.
Stay abreast of regulatory changes and guide clients in strengthening internal controls.
Mentor junior staff and contribute to firm-wide initiatives and business development.

Skills

Compliance experience

Regulatory knowledge

Client engagement

Job description

You will mentor junior staff, stay updated on evolving rules across SEC, CFTC, NFA and FINRA, and help drive operational excellence in a hybrid work environment.

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