Officer 3, Regulatory & Compliance

Position Summary:

Support and assist IQEQs investment adviser clients by providing regulatory compliance services through oversight of the execution and continuous improvement of the clients 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 clients compliance programs as necessary to keep them current with new regulatory requirements and best business practices. You will be working 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:
Assisting with monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws including the Investment Advisers Act of 1940 as amended in accordance with their compliance calendar
Drafting regulatory policies and procedures
Conducting quarterly forensic compliance program testing including performing ongoing reviews based on the clients written policies and procedures
Drafting and filing various regulatory filings for clients

Qualifications :

• Bachelors degree

• 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

  Dedicated to upholding first-class standards and exceptional customer service focus

  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

  Must be able to work in US hours

  Highly motivated and goal oriented

  Ability to establish and maintain effective working relationships with employees and clients

  Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements

Additional Information :

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.

There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee.

Our learning and development programmes and systems enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6500 employees - from 94 nationalities across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.

Were committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success leads to our sustainability and success. Were emotionally invested in our clients right from the beginning.

Remote Work :

No

Employment Type :

Full-time