Manager, Regulatory Compliance (Alternative Assets)
IQ-EQ, Nashville, TN, United States
Job Description
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.
What You’ll Do
Help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
Lead client trainings, mock regulatory exams, and provide hands‑on support during SEC and FINRA examinations
Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
Foster a collaborative team culture, mentor junior staff, and support firm‑wide initiatives such as business development and operational excellence beyond client work
What We Offer
Comprehensive benefits package designed to support employees' well‑being and work‑life balance
Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and financial wellness supported through a 401(k) plan with company match (subject to eligibility)
Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans
Paid parental leave and a hybrid work schedule, promoting personal and professional fulfillment
Salary range $72,000–$110,000, dependent on experience and location
Qualifications
4+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or experience practicing law regarding registered investment companies
Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Familiarity with SEC examination practices and preferably hands‑on experience with actual and mock exams
Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements
Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date
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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.
What You’ll Do
Help manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
Ensure timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
Lead client trainings, mock regulatory exams, and provide hands‑on support during SEC and FINRA examinations
Stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
Foster a collaborative team culture, mentor junior staff, and support firm‑wide initiatives such as business development and operational excellence beyond client work
What We Offer
Comprehensive benefits package designed to support employees' well‑being and work‑life balance
Generous paid time off, including 4 weeks of PTO that increases over time, sick time and paid holidays, and financial wellness supported through a 401(k) plan with company match (subject to eligibility)
Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans
Paid parental leave and a hybrid work schedule, promoting personal and professional fulfillment
Salary range $72,000–$110,000, dependent on experience and location
Qualifications
4+ years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or experience practicing law regarding registered investment companies
Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Familiarity with SEC examination practices and preferably hands‑on experience with actual and mock exams
Understanding of regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements
Ability to apply regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date
#J-18808-Ljbffr