Senior Manager Regulatory Compliance (Private Funds)
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Job Location:
Marshall County, WV - USA
Monthly Salary:
Not Disclosed
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Department:
Job Summary
Support and assist IQEQs investment adviser client 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 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 clients 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.
Qualifications :
- Bachelors degree
- 6 to 8 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
Additional Information :
Salary based on experience and location ($125000-$150000) and full benefits package offered.
Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining 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 (including PowerU and MyCampus) 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 5800 employees - from 94 nationalities across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women 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 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.
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Remote Work :
No
Employment Type :
Full-time
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
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 infras ... View more
