Manager- Regulatory Compliance Alternative Assets
Manager- Regulatory Compliance Alternative Assets
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Salary Not Disclosed
1 Vacancy
Job Description
Position Summary: Support and assist IQEQs investment adviser client by providing regulatory compliance services through oversight of the and continuous improvement of the clients compliance program which meet the requirements of SEC Rules 20647 and 38a1 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 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.
- 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.
- Preparation and filing of required US regulatory filings.
- Prepare and conduct training for our clients according to the clients needs 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 compliancerelated responsibilities and special projects as needed.
Qualifications :
Bachelors degree
- 4 to 6 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 with proficiency in basic Office software including Excel and Word
- Must be able to demonstrate strong organizational and problemsolving skills with attention to detail
- Must be able to demonstrate strong oral and written communication skills
- Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQEQ and/or IQEQ clients
- Dependable flexible and adaptable to changing client needs and initiatives.
- Ability to work well in a fastpaced environment
- Must be able to work independently multitask and prioritize effectively
- Ability to establish and maintain effective working relationships with employees and clients
Additional Information :
Salary based on experience and location $70000$115000 and full benefits package offered.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
