- 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.
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.
All your information will be kept confidential according to EEO guidelines.
Salary range: $135,000 - $175,000
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.
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