Full-Time Manager - Regulatory Compliance

Support and assist IQEQ’s investment adviser client by providing regulatory compliance services. Oversight of the execution and continuous improvement of the client’s compliance program, meeting SEC Rules 206(4)-7 and 38a-1, and other state and federal securities laws and regulations.

Update the client’s compliance programs to stay current with new regulatory requirements and best business practices.

Work with leading private equity and hedge fund firms. Assist, perform, and review 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.
• Assist and oversee junior team members in compliance functions (personal trading review, email review, firm trading activity monitoring, restricted lists).
• Perform reviews for the Annual Review of policies and procedures.
• Preparation and filing of required US regulatory filings.
• Prepare and conduct training for clients, 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.

Requirements:

• Bachelor's degree and 4+ 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; proficiency in basic Office software (Excel, Word).
• Strong organizational and problem-solving skills with attention to detail.
• Strong oral and written communication skills.
• Strong analytical skills with the ability to exercise discretion.
• Dependable, flexible, and adaptable.
• Ability to work well in a fast-paced environment.
• Ability to work independently, multi-task, and prioritize effectively.
• Ability to establish and maintain effective working relationships with employees and clients.

Compensation: $75,000 - $125,000, full benefits package.

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