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Job Description
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:
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
- Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
- Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
- Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
- Preparation and filing of required US regulatory filings
- Prepare training for our clients regarding the Advisers Act or other regulatory requirements
- Design and monitor testing systems to ensure the efficacy of controls and surveillance programs
- Drafting regulatory policies and procedures
- Mentor Associates
- Perform other compliance-related responsibilities and special projects as needed
Qualifications
- Bachelor's degree
- 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
- 2+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, or JD
- Working knowledge of the IA Act of 1940, the ICA of 1940, FINRA or NFA/CFTC regulations a plus
Additional information
Salary based on experience and location ($92,000-$115,000) 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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