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Job Description
Support and assist IQEQs investment adviser client by providing regulatory compliance services through oversight of the and continuous improvement of the clients compliance program which meet the requirements of SEC Rules 20647 and 38a1 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:
- 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 clients 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 :
- Bachelors degree
- Analytical technical and technology skills with proficiency in basic Office software including Excel and Word
- Must be able to demonstrate strong organizational and problemsolving 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 IQEQ and/or IQEQ clients
- Dependable flexible and adaptable to changing client needs and initiatives.
- Ability to work well in a fastpaced environment
- Must be able to work independently multitask and prioritize effectively
- Ability to establish and maintain effective working relationships with employees and clients
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
