ZipRecruiter
Copy of Senior Manager - Regulatory Compliance (Private Funds)
ZipRecruiter, San Francisco, California, United States, 94199
Job Description
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. What you’ll do
You7ll help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership You Note
Responsibilities
Analyse complex compliance issues and develop, implement, and test compliance programs for clients in the alternative and traditional investment sectors Maintain professionalism, sound judgment, and adaptability to client-driven schedules; support regulatory exams and outsourced Chief Compliance Officer functions Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations Stay informed 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 beyond client work What we offer
IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance. Generous paid time off, including 20 days of PTO and 7 sick days annually, with PTO increasing over time. The company also observes 10 paid holidays each year, 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 fulfilment. The salary for this position will be dependent on experience and location ($125,000-$150,000). Qualifications
6+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or practiced law regarding registered investment companies Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 Familiar with SEC examination practices and hands-on experience with actual and mock exams Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date Additional Information
Sustainability is integral to our strategy and operations. Our sustainability depends on building and maintaining long-term relationships with stakeholders – including employees, clients, and local communities – while reducing our impact on the natural environment. We are committed to fostering an inclusive, equitable and diverse culture, supported by our leadership committees. We offer learning and development programmes (including PowerU and MyCampus) and a hybrid working approach to support work-life balance. Our 5,800+ employees across 25 countries are empowered to achieve their potential, and we support initiatives such as IQ-EQ Launchpad to promote leadership in underrepresented groups. #LI-HYBRID
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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. What you’ll do
You7ll help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership You Note
Responsibilities
Analyse complex compliance issues and develop, implement, and test compliance programs for clients in the alternative and traditional investment sectors Maintain professionalism, sound judgment, and adaptability to client-driven schedules; support regulatory exams and outsourced Chief Compliance Officer functions Lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations Stay informed 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 beyond client work What we offer
IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance. Generous paid time off, including 20 days of PTO and 7 sick days annually, with PTO increasing over time. The company also observes 10 paid holidays each year, 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 fulfilment. The salary for this position will be dependent on experience and location ($125,000-$150,000). Qualifications
6+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or practiced law regarding registered investment companies Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 Familiar with SEC examination practices and hands-on experience with actual and mock exams Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date Additional Information
Sustainability is integral to our strategy and operations. Our sustainability depends on building and maintaining long-term relationships with stakeholders – including employees, clients, and local communities – while reducing our impact on the natural environment. We are committed to fostering an inclusive, equitable and diverse culture, supported by our leadership committees. We offer learning and development programmes (including PowerU and MyCampus) and a hybrid working approach to support work-life balance. Our 5,800+ employees across 25 countries are empowered to achieve their potential, and we support initiatives such as IQ-EQ Launchpad to promote leadership in underrepresented groups. #LI-HYBRID
#J-18808-Ljbffr