Manager- Regulatory Compliance (Alternative Assets)

IQ-EQ; Chicago (IL); On-site; USD 70,000 - 115,000; Full time

Job summary

IQ-EQ is seeking a Manager for Regulatory Compliance in Alternative Assets. The role involves advising clients, managing compliance programs, and mentoring junior team members in a dynamic environment. Candidates should possess a Bachelor's degree and have 4-6 years of experience in compliance, particularly in the investment sector.

Qualifications

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

Responsibilities

• Advising clients on compliance with regulatory directives.
• Assist in the performance of compliance functions.
• Prepare and conduct training on the Advisers Act.

Skills

Strong analytical skills

Organizational skills

Problem-solving skills

Communication skills

Attention to detail

Education

Bachelor's degree

Tools

Basic Office software

Job description

Manager- Regulatory Compliance (Alternative Assets)

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Manager- Regulatory Compliance (Alternative Assets)

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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.

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

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 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 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.
• Preparation and filing of 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.
  
  

Qualifications

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, 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 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
  
  

Additional Information

Salary based on experience and location ($70,000-$115,000) and full benefits package offered.

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Accounting/Auditing

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