Manager- Regulatory Compliance (Alternative Assets)
$70k/y-$110k/y
IQ-EQ3 days ago
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HybridFull-timeMid
Summary
IQ-EQ is seeking a Manager- Regulatory Compliance (Alternative Assets) to join their team in Dallas, TX. The role involves analyzing compliance issues and developing compliance programs for clients in the investment sector.
About the Role
As a Manager- Regulatory Compliance, you will manage client engagements, provide strategic compliance guidance, ensure timely completion of client deliverables, lead client trainings, and support regulatory exams. You will also stay updated on regulatory changes and mentor junior staff while fostering a collaborative team culture.
About You
Required:
- 4+ years of compliance experience from a registered investment adviser, law firm, or investment consulting firm.
- Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- Familiarity with SEC examination practices and hands-on experience with actual and mock exams.
- Understanding of regulatory frameworks including CFTC, NFA, and FINRA requirements.
Preferred:
- Experience in developing and implementing compliance programs.
- Ability to guide clients effectively in compliance matters.
Benefits
- Generous paid time off including 4 weeks of PTO that increases over time, sick time, and paid holidays.
- 401(k) plan with a company match (subject to eligibility).
- Health benefits including medical, dental, vision, and mental health support.
- Paid parental leave and a hybrid work schedule.
IQ-EQ
We are IQ-EQ, a leading investor services group employing 5500+ people across 25 jurisdictions worldwide. We bring together that rare combination of global technical expertise and a deep understanding of our clients' needs. We have the know how and the know you to deliver for our clients - fund managers, multinational companies, family offices and private clients operating worldwide.
Dallas, TX