Intern – Compliance (Hybrid/Remote)

Job Description

Minimum Responsibilities:

  • 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.

Qualifications

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

Additional information

All your information will be kept confidential according to EEO guidelines.

Salary: $20/hour


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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