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Manager - Regulatory Compliance

Company: IQ-EQ
Location: Phoenix
Posted on: June 26, 2022

Job Description:

Company DescriptionIQEQ 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

  • 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 clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
  • Preparation and filing of required regulatory filings, for US and international clients
  • Review of client and account documentation for anti-money laundering compliance
  • Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
  • Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
  • Perform other compliance-related responsibilities and special projects as neededQualifications
    • Bachelor's Degree Required
    • 5+ 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
    • JD PreferredAdditional InformationAll your information will be kept confidential according to EEO guidelines.

Keywords: IQ-EQ, Phoenix , Manager - Regulatory Compliance, Executive , Phoenix, Arizona

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