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  • Manager Compliance Monitoring Regulatory Support - Chicago, IL - IQ-EQ

    IQ-EQ
    IQ-EQ Chicago, IL

    1 week ago

    Default job background
    Description

    Compliance Specialist

    IQEQ is a leading service provider to the alternative asset industry. We work with managers across various capacities, including hedge fund and private equity fund launches, administration, advisory firm setup, and regulatory compliance.

    Key Responsibilities:

    • Advising clients on regulatory compliance with little input from senior team members.
    • Reviewing firm marketing and advertising materials for compliance with applicable regulations.
    • Assisting junior team members in performing compliance functions, such as personal trading review and monitoring firm trading activities.
    • Performing annual reviews of policies and procedures, reviewing drafts of required US regulatory filings, and preparing client training.
    • Designing and monitoring testing systems to ensure the efficacy of controls and surveillance programs.

    Requirements:

    • Bachelor's degree.
    • ~6-8 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm.
    • Experience practicing law regarding registered investment companies preferred.

    This role requires strong knowledge of regulatory requirements and excellent communication skills. If you have a background in compliance and are looking for a challenging opportunity, we encourage you to apply.


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