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Job Description
Responsibilities / Key competencies for the position
Support and assist IQEQ’s investment adviser clients 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:
- Monitoring and maintaining compliance programs for clients to ensure compliance with federal securities
- Drafting regulatory policies and procedures
- Conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures
- Drafting and filing various regulatory filings for clients
- Assist team members to reply to complex secretarial and administrative queries from clusters in a timely manner;
- Perform any ad-hoc functions relating to secretarial and administration in case of service disruption;
- Ensure all review tasks assigned are up to date and delivered on time based on the planning in place;
- Proactively inform the reporting line for any work that cannot be executed as planned highlighting where changes may be needed in planning assumptions;
- Use professional judgment to assess when to escalate an issue promptly;
- Demonstrate ownership of his/her own development, highlighting when and where additional support and development is required;
- Provide effective coaching to members of staff on process and procedures relating to the job;
- Participate in the task planning and job allocation of work load;
- Ensure and/or participate in documenting/updating processes and procedures;
- Perform any other cognate duties that may from time to time be required which are appropriate for the role and business needs.
Qualifications
- Bachelor’s degree
- Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
- Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
- Must be able to demonstrate strong oral and written communication skills
- Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients
- Dependable, flexible, and adaptable to changing client needs and initiatives.
- Ability to work well in a fast-paced environment
- Must be able to work independently, multi-task and prioritize effectively
- Flexible to work in US Shift
- Ability to establish and maintain effective working relationships with employees
- Ready to work in US Shift
Additional information
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder is expected to demonstrate the following:
- Accountability
- Work ethics
- Attention to detail
- Proactivity
- Positivity
- Integrity
- Accuracy
- Discipline
- Reliable and trustworthy
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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