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Job Description
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members.
- Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
- Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act. Oversee reviews conducted by other team members.
- Lead client calls and ensure call agendas and work product are provided in a timely manner.
- Review drafts of required US regulatory filings.
- Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
- Review drafts of client policies and procedures.
- Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
- Mentor new team members.
- Perform other compliance-related responsibilities and special projects as needed.
Qualifications
- Bachelor's degree
- 6 to 8 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
- 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.
Additional information
Salary based on experience and location ($104,000-$130,000) and full benefits package offered.
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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