Why work at IQ-EQ?
We power people and possibilities
Careers
Open mobile menu
Job Description
- Provide oversight and assistance in the day-to-day support in the development, implementation, and maintenance of compliance programs for firms with a registered funds, including but not limited to:
- Development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented;
- Conduct annual compliance reviews and internal control testing;
- Prepare and submit annual and quarterly board materials and regulatory filings;
- Oversee the monitoring of clients’ employees’ personal trading and electronic communications;
- Assist clients in organization and maintenance required books and records;
- Provide onsite training to clients regarding regulatory requirements and best practices;
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
- Register clients with the SEC;
- Assist in conducting mock regulatory exams;
- Assist in providing SEC exam support;
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.
Qualifications
Education and Experience Requirements:
- Undergraduate degree required;
- 5+ years of Investment Company Act/Investment Advisers Act related experience;
- Experience with assisting firms registering with the appropriate regulatory body as well as implementation of ongoing compliance programs;
- Excellent written and verbal communication skills;
- Experience with compliance program development and maintenance;
- Independent self-starter, as well as collaborative problem solver;
- Strong research skills;
- Ability to multi-task across a range of projects with constantly shifting priorities;
- Management experience preferred.
Additional information
All your information will be kept confidential according to EEO guidelines.
Salary range: $135,000 - $175,000
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.
Recruitment experience
Everything you need to know