Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
Unlike a consultancy, IQ-EQ’s U.S. Regulatory Compliance team takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager.
This includes handling all relevant U.S. regulatory requirements of the SEC, NFA/CFTC, State(s), 40 Act and FINRA.
As part of our ongoing regulatory compliance services, our clients have access to a web-based compliance portal that is customised to the investment manager’s specific compliance program. Additionally, IQ-EQ performs a quarterly review and testing of the entire compliance program and provides recommendations for any changes or updates.
In ensuring effective compliance, we also leverage gVue, our proprietary software that automates and retains all compliance processes and procedures.
Our U.S. compliance and regulatory consulting solutions include:
Project-based engagements
- Investment adviser registration
- Exempt reporting adviser services
- CFTC registration and NFA membership
- Broker-deal registration
- Compliance policies and procedures
- Regulatory examination support / mock examinations
- Gap analyses
Ongoing compliance support
- Ad hoc consultation and advice
- Implementation of compliance calendar
- Regulatory filings (Advisers Act, Exchange Act, Investment Company Act, CFTC/NFA)
- Annual compliance reviews
- Monthly and/or quarterly compliance testing
- Targeted forensic testing
- Staff compliance training
- Maintenance of policies and procedures
- Drafting of forms, templates and other practice management tools
- Electronic, expert network and buy-side communications surveillance
- Marketing and advertising reviews
- Code of ethics administration
- Investor due diligence support
Contact us today to learn more about our compliance consulting support for U.S. investment managers:
IQ-EQ is the best firm for our needs, they do a good job and they are cost effective for what they do. Michael Savinelli Vice President, Chief Tax Officer & Treasurer, ITT Inc
Compliance consulting FAQs
What does compliance consulting involve?
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
What can a regulatory compliance consulting firm like IQ-EQ do for me?
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.
Steven Graham
Head of Outsourced Regulatory and Compliance Services, Americas
United States
Send email +1 469 646 8383
Kathy Malone
Senior Managing Director, Head of Broker Dealer Compliance
United States
Send email +1 617 784 0486
Sean Wilke
Senior Managing Director, Head of Growth Strategy
United States
Send email +1 646 453 4298
Insight
Regulatory Compliance
U.S. private fund managers: new proxy voting reporting requirements
By Sean Wilke
18 May 2023 | 4 minute read
Insight
Regulatory Compliance
Amendments to enhance private fund reporting in the U.S.
16 May 2023 | 3 minute read
Insight
Regulatory Compliance
The SEC’s proposed Safeguarding Rule: What you need to know
08 May 2023 | 12 minute read
Insight
Fund & Asset Managers
The SEC’s 2023 exam priorities: what advisers need to know
30 Mar 2023 | 6 minute read
Insight
Regulatory Compliance
U.S. regulatory lessons learned in 2022
28 Mar 2023 | 7 minute read
Insight
Regulatory Compliance
New SEC rules pertinent to investment advisers
24 Mar 2023 | 5 minute read