Job details

Manager, Regulatory Compliance (Alternative Assets)

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Company Description

IQ-EQ is a preeminent service provider to the alternative asset industry. IQ-EQ 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

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

Qualifications

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.

Additional Information

Salary based on experience and location ($75,000 - $125,000) 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

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Average salary estimate

$100000 / YEARLY (est.)

min

max

$75000K

$125000K

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What You Should Know About Manager, Regulatory Compliance (Alternative Assets), IQ-EQ

If you're passionate about regulatory compliance and the alternative asset industry, IQ-EQ has an exciting opportunity for you as the Manager of Regulatory Compliance. Located in the heart of Houston, TX, this role invites you to be part of an esteemed company that simplifies the complexities faced by investment advisers. You’ll lend your expertise to a diverse clientele, including hedge funds and private equity firms, ensuring their compliance procedures align with the detailed requirements of SEC rules and other regulations. You'll be at the forefront of this dynamic industry, supporting clients by updating their compliance programs in compliance with the Securities Act and Advisers Act, while mentoring junior team members along the way. Your daily tasks will include advising clients on regulatory compliance, reviewing marketing materials, leading client calls, and conducting training sessions on the Advisers Act. You'll also have the chance to perform critical reviews for annual compliance and oversee junior functions, making this role both challenging and rewarding. With IQ-EQ’s commitment to continuous improvement, you’ll work closely with a team of seasoned professionals, gaining insights and knowledge that will sharpen your skills. The ideal candidate will have at least six years of relevant experience and a solid grasp of the IA Act and ICA. Salary ranges from $75,000 to $125,000, accompanied by an attractive benefits package. Join us at IQ-EQ, and elevate your career in regulatory compliance today!

Frequently Asked Questions (FAQs) for Manager, Regulatory Compliance (Alternative Assets) Role at IQ-EQ

What are the key responsibilities of the Manager, Regulatory Compliance at IQ-EQ?

As the Manager, Regulatory Compliance at IQ-EQ, you'll be responsible for overseeing the execution and enhancement of compliance programs tailored to the specific needs of investment adviser clients. This includes advising clients on compliance with the Securities Act, reviewing marketing materials, leading client calls, and mentoring junior team members. Your expertise will ensure that clients meet the rigorous requirements set forth by the SEC and other regulatory bodies.