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Job Description
Position Summary:
Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:
•Assist and oversee junior team members in the performance of compliance functions, such as email review
•Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act
•Preparation and filing of required US regulatory filings
•Draft client policies and procedures
•Monitor testing systems to ensure the efficacy of controls and surveillance programs
•Mentor new Associates/Senior Associates
•Perform other compliance-related responsibilities and special projects as needed.
Qualifications
•Bachelor's degree
•Strong working knowledge of the IA Act of 1940 and the ICA of 1940
•Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred
•Knowledge of CFTC / NFA as well as FINRA requirements is a plus
•Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
•Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
•Must be able to demonstrate strong oral and written communication skills
•Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients
•Dependable, flexible, and adaptable to changing client needs and initiatives
•Ability to work well in a fast-paced environment
•Must be able to work independently, multi-task and prioritize effectively
•Ability to establish and maintain effective working relationships with employees and clients
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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