Regulatory Compliance Specialist

3 weeks ago


Dallas, Texas, United States IQ-EQ Full time

We are seeking a skilled professional to join our team as a Regulatory Compliance Specialist at IQ-EQ, a leading service provider to the alternative asset industry.

About the Role

The successful candidate will be responsible for facilitating our service offering by assisting, performing, and reviewing compliance-related tasks, including advising clients on compliance with applicable regulatory directives and reviewing firm marketing and advertising materials.

We are looking for a highly motivated individual with a strong background in compliance, preferably with experience practicing law regarding registered investment companies. A working knowledge of the IA Act of 1940 and the ICA of 1940 is also essential.

Key Responsibilities
  • Facilitating compliance-related tasks, including advising clients and reviewing firm marketing materials
  • Mentoring new team members
  • Performing reviews needed to complete annual reviews of policies and procedures

A competitive salary of $105,000-$120,000, based on experience and location, and a full benefits package are offered.



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