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Job Description
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:
- Independently manage client relationships with support and advice from Managing Director/Senior Managing Director
- Provide oversight and assistance to ensure completion of all client deliverables (annual reviews, testing, advice and consulting, regulatory filings, etc.)
- Develop and implement compliance policies and procedures – taking a proactive approach to ensuring policies are implemented
- Conduct annual compliance reviews and internal control testing
- Oversee the preparation and submissions of regulatory filings
- Lead client trainings regarding regulatory requirements and best practices
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly
- Oversee the registration of clients as broker-dealers or investment advisers with the appropriate regulatory bodies
- Assist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam support
- Train staff on firm processes, new regulations or takeaways from industry events
- Proactively provide practical, business friendly solutions for esoteric regulatory issues
- Cultivate a culture of community and to lead and coach junior staff
- Contribute to company initiatives outside of client engagement management
Qualifications
- Bachelor's Degree Required
- 8 to 10 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
Additional information
Salary based on experience and location ($160,000-$190,000) and full benefits package offered.
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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