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.
Job Description
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
- 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 regulatory filings, for US and international clients
- Review of client and account documentation for anti-money laundering compliance
- Review, assess, devise, and conduct training of our clients’ employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
- Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
- Perform other compliance-related responsibilities and special projects as needed
Qualifications
- Bachelor’s Degree Required
- 5+ 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, experience with SEC exams and mock exams preferred
- Knowledge of CFTC / NFA as well as FINRA requirements is a plus
- JD Preferred / JD Advantage
Additional Information
All your information will be kept confidential according to EEO guidelines.
Salary range: $75,000-$115,000