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IQ-EQ · 1 day ago

Senior Managing Director – Regulatory Compliance (Alternative Assets)

Dallas, TX

Full-time

Hybrid

Director/Executive

$195K/yr - $265K/yr

20+ years exp

IQ-EQ is a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. The Senior Managing Director will provide regulatory compliance support to investment adviser clients, ensuring compliance programs meet SEC rules and regulatory changes while directly engaging with top private equity and hedge fund firms.

AccountingFinanceFinancial ServicesReal EstateWealth Management

Responsibilities

You'll participate in developing, implementing, and maintaining compliance programs for financial services firms

You'll lead annual compliance reviews, internal control testing, and conduct mock regulatory exams while supporting SEC and FINRA exams

You'll deliver onsite training to clients on regulatory requirements and best practices, and register them as broker-dealers or investment advisers

You'll train staff on firm processes, new regulations, and industry updates, while coaching junior team members and fostering a collaborative culture

You'll oversee client engagements, contribute to special projects, and lead firm initiatives such as business development, thought leadership, and internal training

Qualification

Regulatory compliance expertiseInvestment Advisers Act knowledgeSEC examination experienceCFTC regulatory knowledgeFINRA regulatory knowledgeTrainingCoachingClient engagementLeadership skills

Required

You have a bachelor's degree and bring 20+ years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm—preferably with legal practice involving registered investment companies

You understand the Investment Advisers Act of 1940 and the Investment Company Act of 1940, and can apply this knowledge effectively in compliance roles

You are familiar with SEC examination practices and ideally have hands-on experience with both actual and mock SEC exams

You possess knowledge of regulatory requirements from CFTC, NFA, and FINRA, which adds value to your compliance expertise

You're equipped to handle complex compliance responsibilities independently, contributing to regulatory oversight and strategic guidance for clients