Senior Manager - Compliance (Alternative Assets)

The Senior Manager - Compliance at IQ-EQ oversees the execution and enhancement of compliance programs for our investment adviser clients, ensuring alignment with SEC Rules and other regulatory requirements. This includes advising on compliance issues, reviewing marketing materials, mentoring junior team members, and conducting thorough annual reviews of policies and procedures.

To qualify for the Senior Manager - Compliance at IQ-EQ, candidates should possess a Bachelor's degree and have at least 6 years of relevant compliance experience. It's advantageous to have a solid grasp of the IA Act of 1940, ICA, SEC exam practices, as well as knowledge of CFTC/NFA and FINRA requirements.

The Senior Manager - Compliance at IQ-EQ supports clients by providing tailored compliance services that help navigate regulatory obligations. This role involves advising on regulations relevant to the alternative asset landscape and implementing compliance measures that are essential for client success.

IQ-EQ collaborates with various firms in the alternative asset industry, including hedge funds, private equity funds, and mutual fund managers, providing compliance services that help them meet regulatory standards and operationalize best practices.

The salary range for the Senior Manager - Compliance position at IQ-EQ is between $90,000 and $145,000, depending on the candidate's experience and the specific location of the role, complemented by an attractive benefits package.

Be prepared to discuss your hands-on experience with compliance regulations such as the Securities Act and Advisers Act. Provide examples of how you've successfully navigated compliance challenges and what strategies you've implemented to maintain compliance.

Outline your approach to understanding the client's current compliance program, identifying gaps based on recent regulatory updates, and collaborating with the client to implement necessary changes. Highlight your knowledge of pertinent regulations.

Share an experience where you guided a junior member through a compliance task. Discuss the challenges faced, how you supported their learning, and the outcomes of their development under your mentorship.

Mention specific resources such as industry publications, webinars, or compliance training programs that help you stay informed. Emphasize your commitment to continuous learning and adapting to regulatory changes.

Discuss the systematic approach you take for compliance reviews, including gathering relevant documents, assessing adherence to policies, and evaluating the effectiveness of the compliance program. Provide an example if possible.

Explain your time management and project prioritization skills. Talk about how you assess the urgency and importance of each project and communicate with stakeholders to manage expectations.

Identify elements such as comprehensiveness, engagement, and relevance to the specific audience. Share how you would tailor training to suit the client's needs and ensure retention of key compliance concepts.

Talk about your familiarity with SEC exams, including your role in preparing documents, liaising with examiners, and responding to inquiries. Share any key takeaways that improved your practice following such experiences.

Share a specific challenge related to compliance, your approach to resolving it, and the successful outcome. This demonstrates your problem-solving skills and resilience in the face of regulatory changes.

Express your interest in the alternative asset industry and how IQ-EQ’s reputation for excellence and commitment to client service aligns with your professional values. Mention specific aspects of the company that make you eager to contribute.