Full-Time Senior Manager - Regulatory Compliance

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 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 with little 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.
• 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. Oversee reviews conducted by other team members.
• Lead client calls and ensure call agendas and work product are provided in a timely manner.
• Review drafts of required US regulatory filings.
• Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
• Review drafts of client policies and procedures.
• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
• Mentor new team members.
• Perform other compliance-related responsibilities and special projects as needed.

Bachelor’s degree 6 plus years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies 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 as well as FINRA requirements is a plus.

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

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