Senior Managing Director – Regulatory Compliance (Alternative Assets)

IQ-EQ
New York, NY
Category Finance
Job Description
Senior Managing Director – Regulatory Compliance (Alternative Assets) - 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.

Requirements

  • Bachelor's degree
  • 20+ years of relevant compliance experience from a registered investment adviser, law firm, or investment consulting firm
  • Understanding of Investment Advisers Act of 1940 and Investment Company Act of 1940
  • Familiarity with SEC examination practices and CFTC, NFA, and FINRA regulatory requirements

Benefits

  • Generous paid time off
  • Sick time
  • Paid holidays
  • 401(k) plan with company match
  • Health benefits
  • Mental health support
  • Ancillary insurance plans
  • Paid parental leave
  • Hybrid work schedule
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