IQ-EQ
Associate Director- Compliance (Alternative Assets)
IQ-EQ, New York, New York, us, 10261
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 servicesthrough oversight of the execution and continuous improvement of the client's compliance program, which meetthe requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws andregulations. Update the client's compliance programs as necessary to keep them current with new regulatoryrequirements and best business practices. You will be working directly with leading private equity and hedge fundfirms in the alternative asset industry under the guidance and direction from our experienced team of industryveterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:Independently manage client relationships with support and advice from Managing Director/Senior Managing DirectorProvide oversight and assistance to ensure completion of all client deliverables (annual reviews, testing, advice and consulting, regulatory filings, etc.)Develop and implement compliance policies and procedures - taking a proactive approach to ensuring policies are implementedConduct annual compliance reviews and internal control testingOversee the preparation and submissions of regulatory filingsLead client trainings regarding regulatory requirements and best practicesContinuously monitor relevant regulatory changes and assist clients in developing internal controls, accordinglyOversee the registration of clients as broker-dealers or investment advisers with the appropriate regulatory bodiesAssist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam supportTrain staff on firm processes, new regulations or takeaways from industry eventsProactively provide practical, business friendly solutions for esoteric regulatory issuesCultivate a culture of community and to lead and coach junior staffContribute to company initiatives outside of client engagement managementQualifications
Bachelor's Degree Required8 to 10 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 1940Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.Knowledge of CFTC / NFA as well as FINRA requirements is a plus
Additional Information
Salary based on experience and location ($160,000-$190,000) and full benefits package offered.
Videos To Watchhttps://vimeo.com/991743453
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 servicesthrough oversight of the execution and continuous improvement of the client's compliance program, which meetthe requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws andregulations. Update the client's compliance programs as necessary to keep them current with new regulatoryrequirements and best business practices. You will be working directly with leading private equity and hedge fundfirms in the alternative asset industry under the guidance and direction from our experienced team of industryveterans. You will be facilitating our service offering by assisting, performing, and reviewing the following:Independently manage client relationships with support and advice from Managing Director/Senior Managing DirectorProvide oversight and assistance to ensure completion of all client deliverables (annual reviews, testing, advice and consulting, regulatory filings, etc.)Develop and implement compliance policies and procedures - taking a proactive approach to ensuring policies are implementedConduct annual compliance reviews and internal control testingOversee the preparation and submissions of regulatory filingsLead client trainings regarding regulatory requirements and best practicesContinuously monitor relevant regulatory changes and assist clients in developing internal controls, accordinglyOversee the registration of clients as broker-dealers or investment advisers with the appropriate regulatory bodiesAssist in conducting mock regulatory exams; as well as assist in providing SEC and FINRA exam supportTrain staff on firm processes, new regulations or takeaways from industry eventsProactively provide practical, business friendly solutions for esoteric regulatory issuesCultivate a culture of community and to lead and coach junior staffContribute to company initiatives outside of client engagement managementQualifications
Bachelor's Degree Required8 to 10 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 1940Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.Knowledge of CFTC / NFA as well as FINRA requirements is a plus
Additional Information
Salary based on experience and location ($160,000-$190,000) and full benefits package offered.
Videos To Watchhttps://vimeo.com/991743453