Senior Manager - Compliance (Hybrid/Remote) - Dallas, TX, United States
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
Candidates must reside in or within commutable distance from the following locations: Dallas; Fort Worth; Chicago; New York; New Jersey; Long Island; or San Francisco.
Position Summary: 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 with little input from senior team members.
• Advising on and reviewing firm marketing and advertising materials for compliance with the …
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Regions Countries SkillsCompliance Compliance programs Financial controls Hedge Funds Operational Support Private Equity Regulatory Compliance Regulatory filings
Tasks- Advising on compliance
- Conducting Annual Reviews
- Conducting client training
- Designing testing systems
- Leading client calls
- Mentoring team members
- Overseeing compliance functions
- Reviewing marketing materials
6 to 8 years
Education RestrictionsCandidates must reside in or within commutable distance from specified locations Hybrid/Remote
TimezonesAmerica/Anchorage America/Chicago America/Denver America/Los_Angeles America/New_York Pacific/Honolulu UTC-10 UTC-5 UTC-6 UTC-7 UTC-8 UTC-9