Manager - Regulatory Compliance

Profile

Manager - Regulatory Compliance

The candidate will advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives. Advise on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements. Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists. Prepare and file required regulatory filings, for US and international clients. Review client and account documentation for anti-money laundering compliance. Review, assess, devise, and conduct training of clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation. Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure. Perform other compliance-related responsibilities and special projects as needed. Should have a Bachelor's degree. A J.D. degree is preferred. Should preferably have 5+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, and experience practicing law regarding registered investment companies. Strong working knowledge of the IA Act of 1940 and the ICA of 1940 is needed. Knowledge of SEC Exam practices and experience with SEC exams and mock exams is preferred. Knowledge of CFTC / NFA, as well as FINRA requirements, is a plus.

Company info

IQ-EQ Legal
216 W. Jackson Blvd, Suite 1060,
Chicago
Illinois
United States 60606
Website : https://iqeq.com