IQ-EQ · 1 day ago
Manager- Regulatory Compliance (Alternative Assets)
Chicago, IL
Full-time
Hybrid
Mid, Senior Level
$72K/yr - $110K/yr
4+ years expIQ-EQ is a leading Investor Services group offering comprehensive services in the investment sector. The Manager of Regulatory Compliance will analyze compliance issues, develop and implement compliance programs, and manage client engagements while providing strategic guidance in the alternative and traditional investment sectors.
AccountingFinanceFinancial ServicesReal EstateWealth Management
Responsibilities
You'll help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
You’re responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations
You’ll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
You will help foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and and operational excellence beyond client work
Qualification
Required
You bring 4 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies
You have a strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
You're familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams
You understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements
You're expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date
Benefits
Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays
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
Paid parental leave
A hybrid work schedule, promoting both personal and professional fulfillment
Company
IQ-EQ
IQ-EQ is a multi-jurisdictional provider of investor and corporate services in Europe and beyond.
5001-10000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2015-09-11Acquired
Leadership Team
John Legrand
CEO
Brian McArthur-Muscroft
Chief Financial Officer
Recent News
2025-12-18
PR Newswire UK
2025-10-03
Fintech Schweiz Digital Finance News - FintechNewsCH
2025-09-20
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