Senior Manager, Regulatory Compliance

Summary

Join IQ-EQ, a leading service provider to the alternative asset industry, and support our investment adviser clients by ensuring regulatory compliance. You will play a key role in overseeing and improving client compliance programs, adhering to SEC Rules 206(4)-7 and 38a-1, and other relevant regulations. This involves advising clients, reviewing marketing materials, supervising junior team members, conducting annual reviews, leading client calls, and preparing regulatory filings. You will also design testing systems, conduct client training, and mentor new team members. The ideal candidate possesses extensive compliance experience in the investment advisory field and a strong understanding of relevant regulations.

Requirements

• Bachelor's degree
• 6 plus years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred
• Working knowledge of the IA Act of 1940 and the ICA of 1940

Responsibilities

• Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives with little input from senior team members
• 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. Oversee reviews conducted by other team members
• Lead client calls and ensure call agendas and work product are provided in a timely manner
• Review drafts of required US regulatory filings
• Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act
• Review drafts of client policies and procedures
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs
• Mentor new team members
• Perform other compliance-related responsibilities and special projects as needed

Preferred Qualifications

• 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

Benefits

• Salary based on experience and location ($90,000-$145,000)
• Full benefits package offered
• #LI-Remote