Director- Regulatory Compliance (Alternative Assets)
External
Iqeq · Dallas, TX$155K–$175K/yrFull-timeOn-site1mo ago
ComplianceLeadership
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Responsibilities
- You'll help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
- You're responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
- You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations
- You'll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
- You will help foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and and operational excellence beyond client work
Benefits
IQ-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 ($155,000 - $175,000).You bring 4 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companiesYou have a strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.You're familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams.You understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.You're expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date.Our commitment to you and the environmentSustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders - including our employees, clients, and local communities - while also reducing our impact on our natural environment.We're committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We're emotionally invested in our clients right from the beginning.#LI-HYBRIDHealth insuranceDental insuranceVision insurance401(k)Paid time offEquity / stock optionsParental leave
Additional Information
This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.
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