Senior Manager- Regulatory and Compliance; Alternative Assets

Position: Senior Manager- Regulatory and Compliance (Alternative Assets)
Company Description ABOUT IQ-EQ
Is a global investor services group with deep expertise in private markets. We support investment managers, asset owners and global businesses with the administration, compliance, governance, data and reporting that their structures depend on.
Across 25 jurisdictions, our 6,500+ professionals combine technical strength, connected technology and human understanding – the IQ and the EQ – to free clients from operational complexity and give them the peace of mind to focus on their core business activities.
Our IQ is our technical, regulatory and operational expertise, underpinned by data, technology and coordinated global delivery. Our EQ is our human partnership: understanding the business behind the numbers, the culture behind the structures and the individuals behind the screens.
With more than US $950 billion of assets under administration, our global client base includes 13 of the world’s top 15 private equity firms
* and 19 of the top 25 private debt firms**.
One relationship connects our clients to the right expertise as needs evolve, helping them move forward with clarity and confidence, wherever they operate..
To find out more about IQ-EQ visit iqeq.comJob Description 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.

What you’ll doYou’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.

What we offerIQ-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 ($100,000-$135,000).Qualifications 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…