Manager - Regulatory Compliance (Private Funds) - Remote

Overview

The Manager of Regulatory Compliance will support IQEQ’s investment adviser clients by providing regulatory compliance services and ensuring adherence to SEC Rules and other regulatory requirements.

In Short

• Provide oversight of compliance programs for investment adviser clients.
• Update compliance programs as per new regulatory requirements.
• Advise clients on compliance with various securities laws.
• Review marketing materials for regulatory compliance.
• Assist in the performance of compliance functions.
• Conduct Annual Reviews of policies and procedures.
• Prepare and file required US regulatory filings.
• Conduct training sessions for clients.
• Mentor junior team members.
• Perform other compliance-related responsibilities as needed.

Requirements

• Bachelor's degree required.
• 4 to 6 years of relevant compliance experience.
• Strong knowledge of the IA Act of 1940 and ICA of 1940.
• Experience with SEC exams preferred.
• Proficiency in Office software, especially Excel and Word.
• Strong organizational and problem-solving skills.
• Excellent oral and written communication skills.
• Ability to work independently and manage multiple tasks.
• Flexibility to adapt to changing client needs.
• Ability to establish effective working relationships.

Benefits

• Salary based on experience ($75,000 - $125,000).
• Full benefits package offered.