IQ-EQ Group
Copy of Senior Manager - Regulatory Compliance (Private Funds)
IQ-EQ Group, San Francisco, California, United States, 94199
Job Description
Senior Manager – Regulatory Compliance (Private Funds) Job Description This position demands a high level of accuracy, critical thinking, and independent problem-solving, with a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while supporting regulatory exams and outsourced Chief Compliance Officer functions. Responsibilities
Manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership. Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures. Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations. Stay updated on regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues. Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence. Benefits
Comprehensive benefits package supporting employee well-being and work-life balance. Generous paid time off: 20 days PTO, 7 sick days, plus 10 paid holidays annually. 401(k) plan with company match. Health benefits including medical, dental, vision, and mental health support. Additional benefits: paid parental leave and a hybrid work schedule. Salary range: $125,000 - $150,000, depending on experience and location. Qualifications
6+ years of compliance experience, preferably from 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. Familiarity with SEC examination practices, with hands-on experience preferred. Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA. Ability to apply regulatory knowledge to guide clients and ensure robust compliance programs. Additional information
Our commitment to you and the environment: We prioritize sustainability, building long-term relationships with stakeholders, and reducing our environmental impact. We are committed to diversity, equity, and inclusion, fostering an inclusive culture. Our learning and development programmes support career growth, and our hybrid work approach promotes balance and flexibility. We support women managers launching their first fund through IQ-EQ Launchpad. We value our clients’ success as our own, and are invested in helping them achieve their objectives. LI-HYBRID Company description
We are a leading Investor Services group with over 5,800 employees across 25 jurisdictions, managing assets exceeding US$750 billion. We serve many of the world’s top private equity firms, supported by a commitment to ESG and innovative technology. Our people are our strength, delivering trusted, intelligent solutions based on deep client understanding and technical expertise. Our purpose is to power people and possibilities. J-18808-Ljbffr
#J-18808-Ljbffr
Senior Manager – Regulatory Compliance (Private Funds) Job Description This position demands a high level of accuracy, critical thinking, and independent problem-solving, with a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while supporting regulatory exams and outsourced Chief Compliance Officer functions. Responsibilities
Manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership. Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures. Lead client trainings, mock regulatory exams, and support during SEC and FINRA examinations. Stay updated on regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues. Foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and operational excellence. Benefits
Comprehensive benefits package supporting employee well-being and work-life balance. Generous paid time off: 20 days PTO, 7 sick days, plus 10 paid holidays annually. 401(k) plan with company match. Health benefits including medical, dental, vision, and mental health support. Additional benefits: paid parental leave and a hybrid work schedule. Salary range: $125,000 - $150,000, depending on experience and location. Qualifications
6+ years of compliance experience, preferably from 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. Familiarity with SEC examination practices, with hands-on experience preferred. Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA. Ability to apply regulatory knowledge to guide clients and ensure robust compliance programs. Additional information
Our commitment to you and the environment: We prioritize sustainability, building long-term relationships with stakeholders, and reducing our environmental impact. We are committed to diversity, equity, and inclusion, fostering an inclusive culture. Our learning and development programmes support career growth, and our hybrid work approach promotes balance and flexibility. We support women managers launching their first fund through IQ-EQ Launchpad. We value our clients’ success as our own, and are invested in helping them achieve their objectives. LI-HYBRID Company description
We are a leading Investor Services group with over 5,800 employees across 25 jurisdictions, managing assets exceeding US$750 billion. We serve many of the world’s top private equity firms, supported by a commitment to ESG and innovative technology. Our people are our strength, delivering trusted, intelligent solutions based on deep client understanding and technical expertise. Our purpose is to power people and possibilities. J-18808-Ljbffr
#J-18808-Ljbffr