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Job Description
Role Overview:
The Head of Compliance will lead the firm’s compliance landscape, focusing on crafting, implementing, and assessing programs for our clientele. This individual must thrive in a fast-paced environment, ensuring top-tier accuracy and making informed decisions to meet rigorous timelines.
Responsibilities:
- Develop and maintain compliance programs for a variety of financial services firms.
- Supervise staff in formulating compliance guidelines and procedures.
- Conduct compliance audits, training sessions, and register clients with regulatory bodies.
- Spearhead mock regulatory exams and provide pivotal support during SEC and FINRA evaluations.
- Mentor junior staff, fostering a culture of continuous learning and community.
- Drive business growth initiatives, aligning with Commercial and Sales teams, and manage departmental budgets and strategic plans.
- Champion operational excellence by streamlining processes, identifying bottlenecks, and recommending innovative solutions.
Qualifications
- Over 15 years in compliance, preferably at an investment adviser, law firm, or consulting entity.
- Deep understanding of the IA Act of 1940, ICA of 1940, and SEC Exam practices. CFTC/NFA and FINRA knowledge is a bonus.
- Stellar track record in team and client relationship management.
Key Goals:
- Boost department revenue and solidify IQEQ’s stature in the Regulatory and Compliance arena.
- Spearhead thought leadership campaigns and business process improvement projects.
- Prioritize client satisfaction, efficient workflows, and market expansion endeavors.
The ideal Head of Compliance will be a visionary, detail-oriented, and innovative, consistently pushing the boundaries of excellence.
Additional information
All your information will be kept confidential according to EEO guidelines.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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