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Job Description
Officer 1, Regulatory & Compliance
Position Summary: Support and assist IQ-EQ’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 directly 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:
•Monitor and maintain compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, in accordance with their compliance calendar;
•Draft regulatory policies and procedures;
•Analyze clients’ trading practices, including evaluating personal securities transactions;
•Ensure compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures;
•Maintain regulatory compliance with respect to the client’s employee training program.
•Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures.
•Draft and file various regulatory filings for clients.
•Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards.
•Conduct initial reviews of marketing materials; and
•Leverage proprietary compliance software and tools to streamline compliance processes and reporting.
Qualifications
Qualifications:
•Bachelor’s degree.
•Analytical, technical, and technology skills with proficiency in basic MS Office, including Excel and Word.
•Exceptional organizational and problem-solving skills with attention to detail a must.
•Demonstrably strong oral and written communication skills a must.
•Strong analytical skills with the ability to exercise discretion and make independent judgments onmatters of significance for IQ-EQ and/or IQ-EQ clients.
•Dependable, flexible, and adaptable to changing client needs and initiatives.
•Capable of working well in a fast-paced environment.
•Able to work independently, multi-task and effectively prioritize a must.
•Ability to establish and maintain effective working relationships with employees and clients
Additional information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,500+ employees - from 94 nationalities, speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
Company description
ABOUT IQ-EQ
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.
We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top 15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
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