- Provide day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
- Draft and implement compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements;
- Conduct annual compliance reviews;
- Prepare compliance training materials;
- Prepare and submit regulatory filings;
- Monitor compliance employee personal trading and electronic communications;
- Prepare and maintain employee disclosure forms and assist client in organization and maintenance of required books and records; and
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
- Register clients as investment advisers with the appropriate regulatory bodies;
- Assist in conducting mock regulatory exams;
- Assist in providing SEC exam support; and
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.
Education and Experience Requirements:
- Current student
- Excellent written and verbal communication skills;
- Strong, 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; and
- Ability to work 15-20 hours per week.
- Ability to work for a full year
All your information will be kept confidential according to EEO guidelines.
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.
< Back to search results