Officer 1, Regulatory & Compliance
2 months ago
Officer 1, Regulatory & Compliance
Position Summary: Support and assist IQ-EQ’s investment adviser client by providing regulatory compliance servi.....
Officer 1, Regulatory & Compliance
Position Summary: 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:
•Monitor and maintain compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, in accordance with their compliance calendar;
•Draft regulatory policies and procedures;
•Analyze clients’ trading practices, including evaluating personal securities transactions;
•Ensure compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures;
•Maintain regulatory compliance with respect to the client’s employee training program.
•Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures.
•Draft and file 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; and
•Leverage proprietary compliance software and tools to streamline compliance processes and reporting.
Official account of Jobstore.