Let’s get started
By clicking ‘Next’, I agree to the Terms of Service
and Privacy Policy, and consent to receive emails from Rise
Jobs / Job page
Manager, Regulatory Compliance (Private Funds) image - Rise Careers
Job details

Manager, Regulatory Compliance (Private Funds)

Company Description

IQ-EQ is a preeminent service provider to the alternative asset industry. IQ-EQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.

Job Description

Support and assist IQ-EQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working directly with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following: 

  • Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.
  • Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
  • Perform reviews needed to complete an Annual Review of policies and procedures as required under the 
  • Advisers Act. Oversee reviews conducted by other team members.
  • Lead client calls and ensure call agendas and work product are provided in a timely manner.
  • Review drafts of required US regulatory filings.
  • Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
  • Review drafts of client policies and procedures.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
  • Mentor new team members.
  • Perform other compliance-related responsibilities and special projects as needed

Qualifications

  • Bachelor's degree 
  • 4 plus years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
  • Working knowledge of the IA Act of 1940 and the ICA of 1940
  • Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
  • Knowledge of CFTC / NFA as well as FINRA requirements is a plus.

Additional Information

Salary based on experience and location ($90,000 - $125,000) and full benefits package offered. 

IQ-EQ Glassdoor Company Review
3.8 Glassdoor star iconGlassdoor star iconGlassdoor star icon Glassdoor star icon Glassdoor star icon
IQ-EQ DE&I Review
No rating Glassdoor star iconGlassdoor star iconGlassdoor star iconGlassdoor star iconGlassdoor star icon
CEO of IQ-EQ
IQ-EQ CEO photo
Mark Pesco
Approve of CEO

Average salary estimate

$107500 / YEARLY (est.)
min
max
$90000K
$125000K

If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.

What You Should Know About Manager, Regulatory Compliance (Private Funds), IQ-EQ

At IQ-EQ, we're looking for a dedicated Manager, Regulatory Compliance (Private Funds) to join our dynamic team in New York City! Our firm is a leading service provider in the alternative asset industry, and we pride ourselves on supporting a variety of clients including hedge funds and private equity firms. In this role, you'll be a vital part of our mission to ensure our clients meet their regulatory compliance obligations. Your primary task will be to oversee the execution and continuous improvement of clients' compliance programs, ensuring they are aligned with SEC regulations, including Rules 206(4)-7 and 38a-1. You will find yourself advising clients on compliance-related issues, reviewing company marketing materials, and mentoring junior team members. You will enjoy engaging directly with industry veterans, as well as clients who are leaders in their fields. Additionally, your role will involve leading client calls, conducting compliance training, and providing oversight on annual reviews of policies and procedures. With a solid foundation built on your 4+ years of relevant experience and knowledge of the IA Act of 1940, you’ll thrive in our collaborative environment. We offer a competitive salary and a comprehensive benefits package. If you’re ready to take the next step in your career and make an impact in the compliance world, this role is for you!

Frequently Asked Questions (FAQs) for Manager, Regulatory Compliance (Private Funds) Role at IQ-EQ
What are the key responsibilities of the Manager, Regulatory Compliance (Private Funds) at IQ-EQ?

As a Manager, Regulatory Compliance (Private Funds) at IQ-EQ, you will be responsible for overseeing clients' compliance programs in accordance with SEC regulations, advising on regulatory compliance matters, reviewing marketing materials, and ensuring adherence to best practices. You'll also mentor junior team members and lead client consultations, making sure all compliance functions are executed efficiently.

Join Rise to see the full answer
What qualifications do I need to apply for the Manager, Regulatory Compliance (Private Funds) position at IQ-EQ?

To be a strong candidate for the Manager, Regulatory Compliance (Private Funds) at IQ-EQ, you should have a Bachelor's degree and at least 4 years of relevant compliance experience in a registered investment adviser, law firm, or investment consulting firm. Familiarity with the IA Act of 1940 and the ICA of 1940, alongside knowledge of SEC exam practices, is highly recommended.

Join Rise to see the full answer
How does IQ-EQ support the professional growth of a Manager, Regulatory Compliance (Private Funds)?

IQ-EQ is committed to the professional development of its employees by providing an environment that encourages continuous learning. As a Manager, Regulatory Compliance (Private Funds), you can expect to receive mentorship from industry veterans, engage in professional training sessions, and opportunities to take on special projects that enhance both your skill set and career path.

Join Rise to see the full answer
What is the salary range for the Manager, Regulatory Compliance (Private Funds) at IQ-EQ?

The salary range for the Manager, Regulatory Compliance (Private Funds) position at IQ-EQ is between $90,000 and $125,000, depending on experience and location. Additionally, the role comes with a full benefits package, which includes health insurance, retirement plans, and more.

Join Rise to see the full answer
What types of clients will I work with as a Manager, Regulatory Compliance (Private Funds) at IQ-EQ?

In the role of Manager, Regulatory Compliance (Private Funds) at IQ-EQ, you will work primarily with hedge funds, private equity firms, and other notable players in the alternative asset industry. Your interactions will provide insight into their unique compliance challenges and help you develop tailored solutions.

Join Rise to see the full answer
Common Interview Questions for Manager, Regulatory Compliance (Private Funds)
Can you describe your experience with the compliance requirements of the Advisers Act?

When answering this question, focus on specific instances where you ensured compliance with the Advisers Act, detailing the strategies you employed in reviewing policies and procedures or conducting training sessions. Highlight how you've monitored compliance activities to meet regulatory standards.

Join Rise to see the full answer
How do you handle regulatory changes that affect compliance programs?

Discuss your proactive approach to staying informed about regulatory changes, including how you incorporate new guidelines into existing compliance frameworks. Mention any tools or resources you utilize to keep clients up-to-date and how you facilitate training sessions to educate team members.

Join Rise to see the full answer
What steps do you take when reviewing a client's marketing materials for compliance?

Explain your thorough review process, which includes checking for adherence to SEC regulations, clarity of messaging, and compliance with the Advisers Act. Provide examples where your review led to valuable feedback or adjustments that improved the materials.

Join Rise to see the full answer
How have you mentored junior team members in compliance-related tasks?

Share specific examples of your mentoring style. This might include how you have delegated tasks, provided constructive feedback, and created learning opportunities through shadowing or direct involvement in compliance reviews and training.

Join Rise to see the full answer
Describe a challenging compliance issue you faced and how you resolved it.

Relate a particular challenge, outlining the steps you took to analyze the issue, consult relevant regulations, and implement a solution. Emphasize your problem-solving skills and ability to work under pressure, showcasing the positive outcome of your actions.

Join Rise to see the full answer
What compliance monitoring systems have you designed or implemented?

Discuss your experience in developing and overseeing compliance monitoring systems, explaining their purpose and efficacy. Mention any specific types of surveillance programs you’ve designed to ensure ongoing adherence to regulations.

Join Rise to see the full answer
How do you prepare for an SEC exam?

Elaborate on your preparation strategy by detailing how you conduct mock exams, review policies, and ensure that all documentation is organized. Reference the importance of team involvement and how you communicate roles in preparation for an SEC examination.

Join Rise to see the full answer
What experience do you have with fundraising compliance as it relates to private equity?

Highlight your knowledge of fundraising regulations in the context of private equity, explaining your role in ensuring that clients comply with relevant regulations when soliciting investments. Provide examples of successful compliance reviews you've conducted in this area.

Join Rise to see the full answer
How important is communication in your role as a Manager, Regulatory Compliance?

Discuss the critical role communication plays in your work, from client interactions to team collaborations. Offer examples of how effective communication has facilitated compliance success, highlighting your ability to relay complex regulatory information in understandable terms.

Join Rise to see the full answer
What strategies do you use to stay informed about changes in compliance regulations?

Explain the methods you utilize to remain up-to-date with compliance regulations, such as attending industry conferences, following relevant publications, or participating in professional networks. Showcase your commitment to professional development and adherence to current standards.

Join Rise to see the full answer
Similar Jobs
Photo of the Rise User
IQ-EQ Hybrid 1200 Summit Ave suite 400, Fort Worth, TX 76102, USA
Posted 10 days ago

Take on a pivotal role at IQ-EQ as a Senior Associate in Middle Office Hedge Fund Operations, driving precision with trade reconciliations and client management.

Photo of the Rise User
IQ-EQ Hybrid 33 Edith Cavell St, Port Louis 11324, Mauritius
Posted 7 days ago

Join IQ-EQ as a Senior Accountant, where you'll leverage your accounting expertise to manage complex financial portfolios in a dynamic environment.

Photo of the Rise User
Posted 11 hours ago

Join Nuvei as a Compliance Data Monitoring Specialist, where you will support the company's AML/CTF efforts and ensure compliance in the dynamic payment processing sector.

Photo of the Rise User
Customer-Centric
Rapid Growth
Diversity of Opinions
Reward & Recognition
Friends Outside of Work
Inclusive & Diverse
Empathetic
Feedback Forward
Work/Life Harmony
Casual Dress Code
Startup Mindset
Collaboration over Competition
Fast-Paced
Growth & Learning
Open Door Policy
Rise from Within
Maternity Leave
Paternity Leave
Flex-Friendly
Family Coverage (Insurance)
Medical Insurance
Dental Insurance
Vision Insurance
Mental Health Resources
Life insurance
Disability Insurance
Health Savings Account (HSA)
Flexible Spending Account (FSA)
401K Matching
Paid Holidays
Paid Sick Days
Paid Time-Off

Join Schreiber Law, LLC as a Litigation Associate and enhance your legal skills while representing major institutions in court.

Photo of the Rise User
American Express Remote New York, New York, United States
Posted 4 days ago
Inclusive & Diverse
Empathetic
Collaboration over Competition
Growth & Learning
Transparent & Candid
Medical Insurance
Dental Insurance
Mental Health Resources
Life insurance
Disability Insurance
Child Care stipend
Employee Resource Groups
Learning & Development

Join American Express as a Director & Counsel in their Global Employment Law Group, providing strategic legal advice on employment matters.

ngc Remote United States-California-Sunnyvale
Posted 9 days ago

Join Northrop Grumman as a Sr. Principal Contract Administrator and leverage your expertise in government contracting to drive innovative solutions in a collaborative team environment.

Photo of the Rise User
Posted 4 days ago

Join A & Associates as an In-House Counsel to navigate complex legal matters across Florida and Texas in a full-time, onsite role.

Photo of the Rise User
Datadog Hybrid Lincoln, NE
Posted 9 days ago
Customer-Centric
Rapid Growth
Diversity of Opinions
Reward & Recognition
Friends Outside of Work
Inclusive & Diverse
Empathetic
Feedback Forward
Work/Life Harmony
Casual Dress Code
Startup Mindset
Collaboration over Competition
Fast-Paced
Growth & Learning
Open Door Policy
Rise from Within
Maternity Leave
Paternity Leave
Flex-Friendly
Family Coverage (Insurance)
Medical Insurance
Dental Insurance
Vision Insurance
Mental Health Resources
Life insurance
Disability Insurance
Health Savings Account (HSA)
Flexible Spending Account (FSA)
401K Matching
Paid Holidays
Paid Sick Days
Paid Time-Off

Join our legal team as an experienced Paralegal, focusing on family law and contributing to crucial litigation processes.

Photo of the Rise User

Lead the strategic development and implementation of advocacy initiatives as the Director of Government Affairs at CTA, focusing on transportation and privacy policies.

We seek a dedicated legal assistant to join our innovative team and enjoy flexible work models.

Photo of the Rise User
UPS Remote United States
Posted 9 months ago
Photo of the Rise User
Inclusive & Diverse
Diversity of Opinions
Work/Life Harmony
Dare to be Different
Reward & Recognition
Empathetic
Take Risks
Growth & Learning
Transparent & Candid
Mission Driven
Passion for Exploration
Feedback Forward
Medical Insurance
Dental Insurance
Vision Insurance
Mental Health Resources
Life insurance
Disability Insurance
Health Savings Account (HSA)
Flexible Spending Account (FSA)
Learning & Development
Paid Time-Off
Maternity Leave
Social Gatherings
Photo of the Rise User
Inclusive & Diverse
Rise from Within
Mission Driven
Diversity of Opinions
Work/Life Harmony
Transparent & Candid
Growth & Learning
Fast-Paced
Collaboration over Competition
Take Risks
Friends Outside of Work
Passion for Exploration
Customer-Centric
Reward & Recognition
Feedback Forward
Rapid Growth
Medical Insurance
Paid Time-Off
Maternity Leave
Mental Health Resources
Equity
Paternity Leave
Fully Distributed
Flex-Friendly
Some Meals Provided
Snacks
Social Gatherings
Pet Friendly
Company Retreats
Dental Insurance
Life insurance
Health Savings Account (HSA)
Photo of the Rise User
Inclusive & Diverse
Rise from Within
Mission Driven
Diversity of Opinions
Work/Life Harmony
Transparent & Candid
Growth & Learning
Fast-Paced
Collaboration over Competition
Take Risks
Friends Outside of Work
Passion for Exploration
Customer-Centric
Reward & Recognition
Feedback Forward
Rapid Growth
Medical Insurance
Paid Time-Off
Maternity Leave
Mental Health Resources
Equity
Paternity Leave
Fully Distributed
Flex-Friendly
Some Meals Provided
Snacks
Social Gatherings
Pet Friendly
Company Retreats
Dental Insurance
Life insurance
Health Savings Account (HSA)

Our mission is to be the best we can be for our clients but equally important for our people. Our culture allows people to grow, express themselves and be authentic. We provide opportunities so you can build connections and develop your career i...

87 jobs
MATCH
Calculating your matching score...
FUNDING
SENIORITY LEVEL REQUIREMENT
TEAM SIZE
EMPLOYMENT TYPE
Full-time, on-site
DATE POSTED
April 22, 2025

Subscribe to Rise newsletter

Risa star 🔮 Hi, I'm Risa! Your AI
Career Copilot
Want to see a list of jobs tailored to
you, just ask me below!
LATEST ACTIVITY
Photo of the Rise User
Someone from OH, Tallmadge just viewed Manufacturing and Process Engineer at CVRx
Q
Someone from OH, Columbus just viewed Part-Time Medical Assistant at QualDerm Partners
Photo of the Rise User
Someone from OH, Cincinnati just viewed Summer 2025 Intern – Finance – Michigan at Stryker
Photo of the Rise User
Someone from OH, Cleveland just viewed Remote Customer Service Representative at Conduent
Photo of the Rise User
Someone from OH, Cleveland just viewed Customer Support Team Lead (6-month Contract) at Jane App
o
Someone from OH, Cincinnati just viewed Marketing and Communications Consultant at osu
Photo of the Rise User
Someone from OH, Toledo just viewed Registered Nurse (Part-time) at Calibrate
Photo of the Rise User
Someone from OH, Toledo just viewed Clinical Research Associate II at Alimentiv
Photo of the Rise User
Someone from OH, Cleveland just viewed IT Support Engineer at Level AI
Photo of the Rise User
Someone from OH, Dayton just viewed Customer Content Specialist at Cision
Photo of the Rise User
Someone from OH, Cuyahoga Falls just viewed Senior Corporate Communications Manager at Bumble Inc.
Photo of the Rise User
Someone from OH, Cincinnati just viewed Senior Financial Analyst at Workday
Photo of the Rise User
Someone from OH, Cincinnati just viewed Financial Planning and Analysis Lead at JLL
Photo of the Rise User
Someone from OH, Cincinnati just viewed Senior Financial Analyst at American Express
Photo of the Rise User
Someone from OH, Cincinnati just viewed Senior Analyst, Operations at American Express
Photo of the Rise User
Someone from OH, Cincinnati just viewed Strategic Finance Analyst, Corporate at Benchling
Photo of the Rise User
Someone from OH, Cincinnati just viewed Senior Analyst, Project Finance at Apex Clean Energy
Photo of the Rise User
Someone from OH, Cincinnati just viewed Senior FP&A Analyst, Sales at GitLab
Photo of the Rise User
Someone from OH, Cincinnati just viewed FP&A Analyst at Lithic