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.
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:
Salary based on experience and location ($90,000 - $125,000) and full benefits package offered.
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At IQ-EQ, we're looking for a dedicated Manager, Regulatory Compliance (Private Funds) to join our dynamic team in New York City! Our firm is a leading service provider in the alternative asset industry, and we pride ourselves on supporting a variety of clients including hedge funds and private equity firms. In this role, you'll be a vital part of our mission to ensure our clients meet their regulatory compliance obligations. Your primary task will be to oversee the execution and continuous improvement of clients' compliance programs, ensuring they are aligned with SEC regulations, including Rules 206(4)-7 and 38a-1. You will find yourself advising clients on compliance-related issues, reviewing company marketing materials, and mentoring junior team members. You will enjoy engaging directly with industry veterans, as well as clients who are leaders in their fields. Additionally, your role will involve leading client calls, conducting compliance training, and providing oversight on annual reviews of policies and procedures. With a solid foundation built on your 4+ years of relevant experience and knowledge of the IA Act of 1940, you’ll thrive in our collaborative environment. We offer a competitive salary and a comprehensive benefits package. If you’re ready to take the next step in your career and make an impact in the compliance world, this role is for you!
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