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Job Description
Key Components:
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.
Responsibilities:
- Lead engagements for the development, implementation and maintenance of compliance programs for a variety of financial services firms
- Oversee staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented
- Lead annual compliance reviews and internal control testing
- Lead onsite training to clients regarding regulatory requirements and best practices
- Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies
- Lead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support
- Train staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materials
- Cultivate a culture of community and lead and coach junior staff
- Proactively provide practical, business friendly solutions for esoteric regulatory issues
- Contribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertise
- Contribute to special projects and firm initiatives
Qualifications
- 15+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred
- 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
Additional information
Include in Additional Info:
Salary based on experience and location ($200,000-$250,000) and full benefits package offered.
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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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