Senior Manager- Regulatory Compliance (Alternative Assets)

IQ-EQ
Dallas, TX
Category Finance
Job 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. Advise clients on compliance with key U.S. securities laws and lead and support client interactions, including calls, training sessions, and reviews of marketing materials, regulatory filings, and compliance policies.

Requirements

  • Bachelor’s degree
  • 6 to 8 years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm
  • Knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Familiarity with SEC examination practices and experience with both actual and mock SEC exams
  • Knowledge of regulatory requirements from CFTC, NFA, and FINRA

Benefits

  • Generous Paid Time Off
  • 401k Matching
  • Paid Parental Leave
  • Hybrid Work Schedule
  • Health Benefits
  • Ancillary Insurance Plans
]]>