Job details

Associate - Regulatory Compliance (Private Funds)

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Company Description

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 infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.

Job Description

Position Summary: Support and assist IQEQ’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:
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
Analyzing clients’ trading practices, including evaluating personal securities transactions
Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures
Maintaining regulatory compliance with respect to the client’s employee training program
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
Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
Conduct initial reviews of marketing materials

Qualifications

Bachelor’s 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
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
Ability to establish and maintain effective working relationships with employees and clients

Additional Information

Salary based on experience and location ($60,000 - $70,000) and full benefits package offered.

IQ-EQ Glassdoor Company Review

3.8

IQ-EQ DE&I Review

No rating

CEO of IQ-EQ

Mark Pesco

Approve of CEO

Average salary estimate

$65000 / YEARLY (est.)

min

max

$60000K

$70000K

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What You Should Know About Associate - Regulatory Compliance (Private Funds), IQ-EQ

Are you interested in the exciting world of regulatory compliance within the private funds sector? At IQEQ, we're looking for a passionate and detail-oriented Associate - Regulatory Compliance to join our dynamic team in New York City. Here at IQEQ, we partner with leading hedge fund, private equity, and mutual fund managers, providing a myriad of services in the alternative asset industry. In this role, you'll play a crucial part in supporting our investment adviser clients by ensuring their compliance programs are not only up to date but also align with SEC Rules and various federal regulations. You'll be engaged in a diverse range of tasks, from monitoring compliance programs to drafting regulatory policies and assisting in regulatory examinations. You'll have the opportunity to work directly with top private equity and hedge fund firms, receiving mentorship from seasoned industry professionals. If you have a knack for problem-solving, analytical skills, and a positive attitude, you might just be the perfect fit for this role. Join us at IQEQ, where your contributions will have a significant impact, and be a part of a growing team dedicated to excellence!

Frequently Asked Questions (FAQs) for Associate - Regulatory Compliance (Private Funds) Role at IQ-EQ

What responsibilities does the Associate - Regulatory Compliance at IQEQ have?

The Associate - Regulatory Compliance at IQEQ has various key responsibilities, including monitoring compliance programs for clients to ensure adherence to federal securities laws and drafting regulatory policies. The role also involves conducting quarterly forensic compliance tests, analyzing clients' trading practices, and ensuring appropriate compliance violation reports are documented and acted upon.