Officer 3, Regulatory & Compliance

Position Summary:

Support and assist IQEQ’s investment adviser clients 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 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:
• Assisting with 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
• 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

• Bachelor’s degree

• Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word

  • Must be able to demonstrate strong organizational and problem-solving skills with attention to detail

  • Must be able to demonstrate strong oral and written communication skills

  • Dedicated to upholding first-class standards and exceptional customer service focus

  • Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients

  • Dependable, flexible, and adaptable to changing client needs and initiatives.

  • Ability to work well in a fast-paced environment

  • Must be able to work independently, multi-task and prioritize effectively

  • Must be able to work in US hours

  • Highly motivated and goal oriented

  • Ability to establish and maintain effective working relationships with employees and clients

  • Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.