New York, United States

Manager - Regulatory Compliance (Remote Optional)

Full-time / part-time
Full-time
Level
Mid-Senior Level
Department
Compliance & Risk
Address
250 West 57th Street
New York
10107
United States

Job description

  • Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
  • Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
  • Preparation and filing of required regulatory filings, for US and international clients
  • Review of client and account documentation for anti-money laundering compliance
  • Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
  • Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
  • Perform other compliance-related responsibilities and special projects as needed

Qualifications

  • Bachelor's Degree Required
  • 5+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred
  • Strong 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
  • JD Preferred

Additional information

All your information will be kept confidential according to EEO guidelines.

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.

Apply now

To apply, please enter your details into the below form. If you experience any issues with this form, please click here to apply via our provider SmartRecruiters directly.

Personal
CV
Allowed document formats are PDF, Word, RTF, JPG or PNG. Maximum file size 2MB.
Current
Are you legally authorized to work in the United States?
Will you now, or in the future, require sponsorship for employment via visa status (e.g. H-1B visa status)?

If you haven't uploaded a CV, please detail your experience and education.

Experience
Education