Senior Manager - Regulatory Compliance (Private Funds) - Remote

Overview

The Senior Manager of Regulatory Compliance will support IQ-EQ’s investment adviser clients by providing regulatory compliance services, ensuring adherence to SEC and other regulatory requirements in the alternative asset industry.

In Short

• Oversee and improve client compliance programs.
• Advise clients on compliance with various securities laws.
• Review marketing materials for regulatory compliance.
• Manage junior team members in compliance functions.
• Conduct annual reviews of policies and procedures.
• Lead client calls and maintain timely communication.
• Review US regulatory filing drafts.
• Provide training to clients on compliance matters.
• Monitor testing systems for control efficacy.
• Mentor new team members.

Requirements

• Bachelor's degree required.
• 6+ years of compliance experience at a registered investment adviser or law firm.
• Knowledge of the IA Act of 1940 and ICA of 1940.
• Familiarity with SEC exam practices.
• Understanding of CFTC/NFA and FINRA requirements is a plus.

Benefits

• Full benefits package offered.
• Salary based on experience and location.