Manager - Regulatory Compliance (Alternative Assets) - job 2 of 3
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
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:
- 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 client’s 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 compliance-related responsibilities and special projects as needed.
Qualifications
- Bachelor's 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 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 ($85,000 - $130,000) and full benefits package offered.
Average salary estimate
If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.
As a Manager - Regulatory Compliance in Alternative Assets at IQEQ located in the vibrant heart of Chicago, you'll be stepping into a role that's essential to the success of our investment adviser clients. In this position, you'll take the lead in ensuring that their compliance programs align with SEC Rules and various federal regulations. You'll dive deep into regulatory compliance services, offering guidance to private equity and hedge fund firms, all while surrounded by an experienced team of industry professionals who are ready to share their wealth of knowledge. Your responsibilities will include updating and enhancing compliance programs, advising clients on compliance matters, and reviewing marketing materials for regulatory adherence. You’ll play a pivotal role in mentoring junior team members, conducting annual policy reviews, and preparing necessary US regulatory filings. This isn't just about following the rules; it's about crafting solutions and establishing best practices in compliance that empower our clients to thrive in a rapidly changing regulatory landscape. The ideal candidate will bring a bachelor's degree and 4 to 6 years of relevant experience in compliance, along with a strong understanding of the Investment Advisers Act of 1940. You'll need to be analytical, detail-oriented, and possess outstanding communication skills to effectively interact with clients and team members alike. If you're ready to make a significant impact within a dynamic organization, we'd love to hear from you!
Our mission is to be the best we can be for our clients but equally important for our people. Our culture allows people to grow, express themselves and be authentic. We provide opportunities so you can build connections and develop your career i...
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