Manager, Regulatory Compliance

Summary

Join IQEQ, a leading service provider to the alternative asset industry, as a Compliance professional supporting investment advisor clients. You will play a crucial role in ensuring regulatory compliance by overseeing and improving client compliance programs, adhering to SEC Rules 206(4)-7 and 38a-1, and other relevant regulations. This involves advising clients on compliance matters, reviewing marketing materials, assisting junior team members, conducting annual policy reviews, preparing regulatory filings, and delivering client training. You will work directly with prominent private equity and hedge fund firms, contributing to a dynamic and experienced team. The role demands strong analytical, communication, and problem-solving skills within a fast-paced environment.

Requirements

• Bachelor's degree
• 4 to 6 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
• 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

Responsibilities

• Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
• Advise on and review 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
• Prepare and file required US regulatory filings
• Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act
• Draft client policies and procedures
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs
• Mentor new Associates/Senior Associates
• Perform other compliance-related responsibilities and special projects as needed

Preferred Qualifications

• Experience with SEC exams and mock exams
• Knowledge of CFTC / NFA as well as FINRA requirements

Benefits

• Salary based on experience and location ($75,000 - $125,000)
• Full benefits package offered
• #LI-REMOTE