Senior Manager, Regulatory Compliance (Private Funds)

IQ-EQ Group; United States; Remote; USD 90,000 - 145,000; Full time

Job summary

A leading service provider in the alternative asset industry is seeking a Senior Manager for Regulatory Compliance. This role involves advising clients on compliance with various regulations, overseeing junior team members, and ensuring the efficacy of compliance programs. The ideal candidate will have extensive experience in compliance and regulatory knowledge, particularly in the investment sector.

Qualifications

• 6+ years of relevant compliance experience at a registered investment adviser or law firm.
• Knowledge of SEC exam practices and experience with SEC exams preferred.

Responsibilities

• Advising clients on compliance with the Securities Act and other regulations.
• Leading client calls and ensuring timely delivery of work products.
• Mentoring new team members and overseeing compliance functions.

Skills

Compliance

Regulatory Knowledge

Mentoring

Job description

Home Vacancies Senior Manager, Regulatory Compliance (Private Funds)

Senior Manager, Regulatory Compliance (Private Funds)

Job Description

Support and assist IQ-EQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meets 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 facilitate 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 with minimal input from senior team members.
• Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
• Assisting and overseeing junior team members in compliance functions, such as personal trading review, email review, monitoring of firm trading activities, and maintaining restricted lists.
• Performing reviews necessary for completing an Annual Review of policies and procedures as required under the Advisers Act. Overseeing reviews conducted by other team members.
• Leading client calls and ensuring call agendas and work products are provided in a timely manner.
• Reviewing drafts of required US regulatory filings.
• Preparing and conducting training for clients, particularly regarding the Advisers Act, according to their needs.
• Reviewing drafts of client policies and procedures.
• Designing and monitoring testing systems to ensure the efficacy of controls and surveillance programs.
• Mentoring new team members.
• Performing other compliance-related responsibilities and special projects as needed.

Qualifications

• 6+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm; experience practicing law regarding registered investment companies is preferred.
• 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 and FINRA requirements is a plus.

Additional information

Salary based on experience and location ($90,000 - $145,000) and a full benefits package offered.

Company description

IQ-EQ is a leading service provider to the alternative asset industry. IQ-EQ collaborates with managers across various capacities, including hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm setup, regulatory registration, and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational reviews; and outsourced CFO/controller and administrative services for private equity fund investments, portfolio companies, real estate, and energy assets. Our client base is expanding, and existing clients are engaging us across our broad spectrum of services.