Posted in: Other in Dallas | Posted: |
Job Description
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.
Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
Assist and oversee junior team members in the performance of compliance functions, such as personal trading review, email review, the monitoring of firm trading activities and maintaining restricted lists.
Perform reviews needed to complete an Annual Review of policies and procedures as required under the Advisers Act.
Preparation and filing of required US regulatory filings.
Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.
Draft client policies and procedures.
Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
Mentor new Associates/Senior Associates.
Perform other compliance-related responsibilities and special projects as needed.