Manager, Regulatory & Compliance

IQ-EQ Group; United States; Remote; USD 70,000 - 115,000; Full time

Job summary

A leading company in the alternative asset industry is looking for a Manager of Regulatory Compliance. This role involves supporting investment adviser clients with compliance programs and regulatory requirements, advising firms, and overseeing junior team members. Candidates should have strong analytical, organizational, and communication skills, alongside 4 to 6 years of relevant compliance experience.

Qualifications

• 4 to 6 years of relevant compliance experience.
• Strong working knowledge of the IA Act of 1940.
• Must demonstrate strong communication skills.

Responsibilities

• Support clients with regulatory compliance and oversight.
• Advise on compliance with the Securities Act and other regulations.
• Conduct training and prepare compliance policies.

Skills

Analytical skills

Organizational skills

Problem-solving skills

Communication skills

Tools

Excel

Word

Job description

Manager- Regulatory Compliance (Alternative Assets)

Job Description

Position Summary: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations. Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working directly with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:

• Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and otherapplicable regulatory directives.
• Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act andother 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 theAdvisers Act.
• Preparation and filing of required US regulatory filings.
• Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the AdvisersAct.
• Draft client policies and procedures.
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
• Perform other compliance-related responsibilities and special projects as needed.

Qualifications

• 4 to 6 years of relevant compliance experience at a registered investment adviser, law firm, or investmentconsulting 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.
• Analytical, technical, and technology skills with proficiency in basic Office software, including Excel andWord
• 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 mattersof 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

Additional information

Salary based on experience and location ($70,000-$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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