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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:
• Monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended, in accordance with their compliance calendar
• Drafting regulatory policies and procedures
• Analyzing clients’ trading practices, including evaluating personal securities transactions
• Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures
• Maintaining regulatory compliance with respect to the client’s employee training program
• 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 with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
• Conduct initial reviews of marketing materials
• 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
• Ability to establish and maintain effective working relationships with employees and client
Salary Range: $55,000 - $70,000
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.