IQ-EQ
Senior Manager- Regulatory Compliance (Alternative Assets)
IQ-EQ, Chicago, Illinois, United States, 60290
Senior Manager- Regulatory Compliance (Alternative Assets)
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 for the investment sector worldwide. Our global workforce includes 5,800+ people across 25 jurisdictions and we manage over US$750 billion AUA, working with 13 of the world’s top‑15 private equity firms.
We build services on a group‑wide ESG commitment and cutting‑edge technology, supported by in‑house experts. We operate as trusted partners to clients, delivering intelligent solutions through technical expertise and strong client relationships.
Job Description Provide regulatory compliance support to IQ‑EQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7, 38a‑1 and other applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices. Work directly with top private equity and hedge fund firms in the alternative asset industry under the guidance of seasoned professionals. Key tasks involve assisting, performing, and reviewing various compliance‑related activities to facilitate the firm’s service offerings.
What You’ll Do
Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act.
Lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies.
Oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
Conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
Contribute to special projects and perform other compliance‑related tasks as needed, helping maintain high standards across client engagements.
What We Offer
Comprehensive benefits package supporting 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 company match.
Health benefits: medical, dental, vision, mental health support and ancillary insurance plans.
Paid parental leave and a hybrid work schedule promoting personal and professional fulfillment.
Competitive salary based on experience and location ($115,000–$135,000).
Qualifications
Bachelor’s degree and 6–8 years of 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 ability to apply this knowledge effectively.
Familiarity with SEC examination practices, ideally with hands‑on experience of actual and mock SEC exams.
Knowledge of regulatory requirements from CFTC, NFA and FINRA, adding value to compliance expertise.
Capability to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.
Additional Information We are committed to sustainability and an inclusive, equitable, and diverse culture. Our global operations support learning and development programmes, hybrid working, and initiatives such as IQ‑EQ Launchpad for women managers launching their first fund.
#J-18808-Ljbffr
IQ-EQ .
Company Description We’re a leading Investor Services group offering end‑to‑end services in administration, accounting, reporting, regulatory and compliance for the investment sector worldwide. Our global workforce includes 5,800+ people across 25 jurisdictions and we manage over US$750 billion AUA, working with 13 of the world’s top‑15 private equity firms.
We build services on a group‑wide ESG commitment and cutting‑edge technology, supported by in‑house experts. We operate as trusted partners to clients, delivering intelligent solutions through technical expertise and strong client relationships.
Job Description Provide regulatory compliance support to IQ‑EQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7, 38a‑1 and other applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices. Work directly with top private equity and hedge fund firms in the alternative asset industry under the guidance of seasoned professionals. Key tasks involve assisting, performing, and reviewing various compliance‑related activities to facilitate the firm’s service offerings.
What You’ll Do
Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act.
Lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies.
Oversee and mentor junior team members in executing compliance functions such as personal trading reviews, email monitoring, and surveillance of trading activities.
Conduct and manage annual compliance reviews and testing systems to evaluate the effectiveness of internal controls and surveillance programs.
Contribute to special projects and perform other compliance‑related tasks as needed, helping maintain high standards across client engagements.
What We Offer
Comprehensive benefits package supporting 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 company match.
Health benefits: medical, dental, vision, mental health support and ancillary insurance plans.
Paid parental leave and a hybrid work schedule promoting personal and professional fulfillment.
Competitive salary based on experience and location ($115,000–$135,000).
Qualifications
Bachelor’s degree and 6–8 years of 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 ability to apply this knowledge effectively.
Familiarity with SEC examination practices, ideally with hands‑on experience of actual and mock SEC exams.
Knowledge of regulatory requirements from CFTC, NFA and FINRA, adding value to compliance expertise.
Capability to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients.
Additional Information We are committed to sustainability and an inclusive, equitable, and diverse culture. Our global operations support learning and development programmes, hybrid working, and initiatives such as IQ‑EQ Launchpad for women managers launching their first fund.
#J-18808-Ljbffr