Senior Managing Director – Regulatory Compliance (Alternative Assets)
About the position Provide regulatory compliance support to IQEQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a-1, along with 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. Responsibilities • Participate in developing, implementing, and maintaining compliance programs for financial services firms. • Lead annual compliance reviews, internal control testing, and conduct mock regulatory exams while supporting SEC and FINRA exams. • Deliver onsite training to clients on regulatory requirements and best practices, and register them as broker-dealers or investment advisers. • Train staff on firm processes, new regulations, and industry updates, while coaching junior team members and fostering a collaborative culture. • Oversee client engagements, contribute to special projects, and lead firm initiatives such as business development, thought leadership, and internal training. Requirements • 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. Benefits • IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance. • Employees receive generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and 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. • Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment. • The salary for this position will be dependent on experience and location ($195,000 - $265,000). Apply tot his job