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Job Description
Candidates must reside in or within commutable distance from the following locations: Dallas; Fort Worth; Chicago; New York; New Jersey; Long Island; or San Francisco.
Position Summary: Support and assist IQEQ’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
• 6 to 8 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
All your information will be kept confidential according to EEO guidelines.
Salary range: $90,000 - $165,600
Company description
IQEQ is a preeminent service provider to the alternative asset industry. IQEQ 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.
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