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IQ-EQ · 1 day ago

Senior Manager- Regulatory Compliance (Alternative Assets)

Chicago, IL

Full-time

Hybrid

Mid, Senior Level

$115K/yr - $135K/yr

6+ years exp

IQ-EQ is a leading Investor Services group offering comprehensive services in administration and compliance for the investment sector worldwide. The Senior Manager in Regulatory Compliance will provide support to investment adviser clients, ensuring their compliance programs meet regulatory standards, while also mentoring junior team members and leading client interactions.

AccountingFinanceFinancial ServicesReal EstateWealth Management

Responsibilities

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

Qualification

Regulatory ComplianceInvestment Advisers ActInvestment Company ActSEC Examination PracticesCFTCNFAFINRA KnowledgeCompliance Program ManagementClient InteractionMentoring Junior Team MembersConducting Compliance Reviews

Required

You have a bachelor's degree and bring 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

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