IQ-EQ
Senior Manager- Regulatory Compliance (Alternative Assets)
IQ-EQ, Dallas, Texas, United States, 75215
Senior Manager – Regulatory Compliance (Alternative Assets)
Join to apply for the
Senior Manager – Regulatory Compliance (Alternative Assets)
role at
IQ-EQ .
Company 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, with assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top‑15 private equity firms and base our services on ESG stewardship, a global data platform, and innovative proprietary tools.
Job Description Provide regulatory compliance support to IQ‑EQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a‑1, along with applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices, working with top private equity and hedge fund firms in the alternative asset industry, and performing compliance‑related activities to facilitate the firm’s service offerings.
What You’ll Do
You’ll advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act, often independently with minimal input from senior team members.
You’ll lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies to ensure adherence to applicable regulations.
You’ll oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
You’ll conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
You’ll contribute to special projects and perform other compliance‑related tasks as needed, helping maintain high standards across client engagements.
What We Offer
A comprehensive benefits package designed to support employees’ well‑being and work‑life balance.
Generous paid time off, including 4 weeks of PTO that increases over time, sick time, paid holidays, and a 401(k) plan with a company match (subject to eligibility).
Health benefits including medical, dental, vision, mental health support, and additional ancillary insurance plans.
Paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment.
Salary dependent on experience and location ($115,000 – $135,000).
Qualifications
Bachelor’s degree and 6 to 8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm—preferably with legal practice involving registered investment companies.
Deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and the ability to apply this knowledge effectively in compliance roles.
Familiarity with SEC examination practices and hands‑on experience with both actual and mock SEC exams.
Knowledge of regulatory requirements from CFTC, NFA, and FINRA, adding value to your compliance expertise.
Able to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.
Additional Information Our commitment to sustainability is integral to our strategy and operations. We aim to build long‑term relationships with stakeholders, reduce our environmental impact, and foster an inclusive, equitable, and diverse culture. Our hybrid working approach supports employees with balance and flexibility while remaining connected to colleagues. Through IQ‑EQ Launchpad, we support women managers launching their first fund in an industry where only 15 % of private equity and venture capital firms are gender balanced.
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Senior Manager – Regulatory Compliance (Alternative Assets)
role at
IQ-EQ .
Company 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, with assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top‑15 private equity firms and base our services on ESG stewardship, a global data platform, and innovative proprietary tools.
Job Description Provide regulatory compliance support to IQ‑EQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a‑1, along with applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices, working with top private equity and hedge fund firms in the alternative asset industry, and performing compliance‑related activities to facilitate the firm’s service offerings.
What You’ll Do
You’ll advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act, often independently with minimal input from senior team members.
You’ll lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies to ensure adherence to applicable regulations.
You’ll oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
You’ll conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
You’ll contribute to special projects and perform other compliance‑related tasks as needed, helping maintain high standards across client engagements.
What We Offer
A comprehensive benefits package designed to support employees’ well‑being and work‑life balance.
Generous paid time off, including 4 weeks of PTO that increases over time, sick time, paid holidays, and a 401(k) plan with a company match (subject to eligibility).
Health benefits including medical, dental, vision, mental health support, and additional ancillary insurance plans.
Paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment.
Salary dependent on experience and location ($115,000 – $135,000).
Qualifications
Bachelor’s degree and 6 to 8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm—preferably with legal practice involving registered investment companies.
Deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and the ability to apply this knowledge effectively in compliance roles.
Familiarity with SEC examination practices and hands‑on experience with both actual and mock SEC exams.
Knowledge of regulatory requirements from CFTC, NFA, and FINRA, adding value to your compliance expertise.
Able to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.
Additional Information Our commitment to sustainability is integral to our strategy and operations. We aim to build long‑term relationships with stakeholders, reduce our environmental impact, and foster an inclusive, equitable, and diverse culture. Our hybrid working approach supports employees with balance and flexibility while remaining connected to colleagues. Through IQ‑EQ Launchpad, we support women managers launching their first fund in an industry where only 15 % of private equity and venture capital firms are gender balanced.
#J-18808-Ljbffr