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.

Qualifications

• Bachelor's degree
• 4 to 6 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
• Strong working knowledge of the IA Act of 1940 and the ICA of 1940
• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
• Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
• 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
• Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ client
• 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
• Ability to establish and maintain effective working relationships with employees and clients 

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Job Description

• Work with clients to deliver outsourced CFO and related services to Hedge Funds and Private Equity Funds
• Evaluate current financial and accounting processes for clients, propose improvements and help coordinate implementation efforts
• Liaison with the clients’ external auditors, administrator, HR/payroll, and other service providers + provide operational support for clients
• Fund and management company financial statement preparation/review
• Assist in evaluating current financial and accounting process for new clients, propose improvements and help coordinate implementation efforts
• Calculation of management fees and incentive allocation
• Attend and lead meetings for both client engagements and internal leadership needs
• Expense tracking and approvals
• Accounting principles and issues research
• Lead client execution and act as main point of contact on accounts, service provider recommendations and vetting (review of service provider contracts, fund and formation documents) and advise clients on various issues as they arise
• Assist in the opening of brokerage and bank accounts, develop budgets, establish accounting practices, create financial models and provide ad-hoc financial analysis
• Develop and oversee staff in delivery of services
• Participate in special projects

Qualifications

Successful candidates will have many, if not all, of the attributes below:
• 12+ years experience in alternative Investment Accounting preferred

• Bachelor's Degree in Accounting
• CPA preferred
• Public Accounting background
• Administration experience a plus
• Superior management skills
• Attention to detail and ability to multi-task
• Hard-working, self-starter, dedicated, punctual and personable
• Excellent organizational skills
• Excellent interpersonal, oral and written communication skills
• Strong accounting and analytical skills
• Strong computer skills: Microsoft Office Suite and QuickBooks
• Passionate about working in a dynamic entrepreneurial environment
• In depth understanding of investment management and alternative products
• Ability to define problems, collect data, establish facts and draw valid conclusions to solve problems — quickly and competently

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Job Description

You will be responsible for the development of the team and its members ensuring the consistent delivery of the highest quality service to a portfolio of clients and also for the provision of appropriate frameworks and controls to ensure adherence to all procedures and policies.

You will support the development of strategic relationships with clients, monitoring current service levels as well as supporting further business development opportunities with those clients.

Drawing on your existing experience in Corporate, Company or Fiscal law  you will create and maintain a positive and professional environment that motivates team members to learn and develop with regular, frequent and transparent communication.

You will lead and manage all recruitment, resourcing, training and development requirements of the team to meet client demands and career development of team members and also you will lead and manage continuous improvement objectives of the team and contribute to those objectives at a department level also.

You’ll be highly organized, pay close attention to detail and able to bridge the gap between Client Services and Technical/Compliance/Sales etc and know when and how to bring these Subject Matter Experts in as and when necessary.

You will build strong customer relationships with existing and new clients, banks and other external parties, gaining insight into their needs and delivering customer-centric solutions also ensuring we meet our legal and contractual requirements.

Client Services Manager may be required to cover for a Senior Accountant at any time,therefore needs to be competent and confident in all accounting roles and responsibilities as well.

You will lead board and shareholders meetings, reviewing related minutes, agreements and documentation.

We are never complacent and always encourage our people to look for ways to improve our business; here everyone’s opinion counts and we will value your contribution.

Your long-term career goals are important to us too. We want to make sure we’re providing the support and opportunities you need to achieve your dreams so we can build a successful future, together. 

Qualifications

• English must be fluent
• 7+ years experience in Corporate Services with exposure to both Legal AND Accounting,
• Experience in providing services to clients and managing client relationships,
• Experience in training and mentoring qualified and part qualified Accountants

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Job Description

Candidates must reside in or within commutable distance from the following locations: Dallas; Fort Worth; Chicago; New York; New Jersey; Long Island; or San Francisco. 

Position Summary: 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 with little input from senior team members.

• 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. Oversee reviews conducted by other team members.

• Lead client calls and ensure call agendas and work product are provided in a timely manner.

• Review drafts of required US regulatory filings. • Prepare and conduct training for our clients, according to the client’s needs, particularly regarding the Advisers Act.

• Review drafts of client policies and procedures.

• Design and monitor testing systems to ensure the efficacy of controls and surveillance programs. • Mentor new team members.

• Perform other compliance-related responsibilities and special projects as needed

Qualifications

• Bachelor's degree

• 6 to 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.

• Working knowledge of the IA Act of 1940 and the ICA of 1940

• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.

• Knowledge of CFTC / NFA as well as FINRA requirements is a plus

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Job Description

Managing Director 

Key Components: 

This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions. 
 

Responsibilities:  

• Lead engagements for the development, implementation and maintenance of compliance programs for a variety of financial services firms 
• Oversee staff in the development and implementation of compliance policies and procedures – taking a proactive approach to ensuring policies are implemented 
• Lead annual compliance reviews and internal control testing 
• Lead onsite training to clients regarding regulatory requirements and best practices 
• Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies 
• Lead in conducting mock regulatory exams as well as assist in providing SEC and FINRA exam support 
• Train staff on firm processes, new regulations or takeaways from industry events as well as oversee the development of internal training materials  
• Cultivate a culture of community and lead and coach junior staff 
• Proactively provide practical, business friendly solutions for esoteric regulatory issues 
• Contribute to company initiatives outside of client engagement management, such as business development, staff management or subject matter expertise 
• Contribute to special projects and firm initiatives  

Qualifications

• 15+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred 
• Strong working knowledge of the IA Act of 1940 and the ICA of 1940 
• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred 
• Knowledge of CFTC / NFA as well as FINRA requirements is a plus 

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Job Description

You will build strong customer relationships with existing and new clients, gaining insight into their needs and delivering customer-centric solutions.  

Drawing on your existing experience you will be responsible for preparing financial statements and monitor, review and prepare investor reports.

You’ll need to be thorough in all you do, dealing with complex matters to include Private Equity and Real Estates profit distribution schemes.

You’ll be highly organized, pay close attention to detail and know how to work collaboratively with others to meet our common goals. Using your own judgment to highlight any significant finds and put forward any recommendations to help us find an appropriate solution.

We are never complacent and always encourage our people to look for ways to improve our business; here everyone’s opinion counts and we will value your contribution.

Your long-term career goals are important to us too. We want to make sure we’re providing the support and opportunities you need to achieve your dreams so we can build a successful future, together. 

Qualifications

• Bachelor Degree in Economics or Finance
• ACCA is a great asset
• 1 - 3 years in an audit firm, service provider or 1- 2 years accounting experience in Private Equity/Real Estate alternative funds
• Fluent in English is essential 
• French and/or German language (desirable)
• Exposure to Lux GAAP and EVCA/INREV/IPEVC guidelines is an asset

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Job Description

Candidate will ideally be located in the Los Angeles, CA metro area.  Also, considering candidates able to successfully work remotely from the Pacific and Mountain time zones. This opportunity will be dedicated to a single IQ-EQ client and requires private equity fund experience. 

• Work with clients to deliver outsourced CFO and related services to Hedge Funds and Private Equity Funds
• Evaluate current financial and accounting processes for clients, propose improvements and help coordinate implementation efforts
• Liaison with the clients’ external auditors, administrator, HR/payroll, and other service providers + provide operational support for clients
• Fund and management company financial statement preparation/review
• Assist in evaluating current financial and accounting process for new clients, propose improvements and help coordinate implementation efforts
• Calculation of management fees and incentive allocation
• Attend and lead meetings for both client engagements and internal leadership needs
• Expense tracking and approvals
• Accounting principles and issues research
• Lead client execution and act as main point of contact on accounts, service provider recommendations and vetting (review of service provider contracts, fund and formation documents) and advise clients on various issues as they arise
• Assist in the opening of brokerage and bank accounts, develop budgets, establish accounting practices, create financial models and provide ad-hoc financial analysis
• Develop and oversee staff in delivery of services
• Participate in special projects

Qualifications

Successful candidates will have many, if not all, of the attributes below:

• 12+ years experience in alternative Investment Accounting preferred
• Bachelor's Degree in Accounting
• CPA preferred
• Public Accounting background
• Administration experience a plus
• Superior management skills
• Attention to detail and ability to multi-task
• Hard-working, self-starter, dedicated, punctual and personable
• Excellent organizational skills
• Excellent interpersonal, oral and written communication skills
• Strong accounting and analytical skills
• Strong computer skills: Microsoft Office Suite and QuickBooks
• Passionate about working in a dynamic entrepreneurial environment
• In depth understanding of investment management and alternative products
• Ability to define problems, collect data, establish facts and draw valid conclusions to solve problems — quickly and competently

See more jobs at IQ EQ

Apply for this job

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.

Qualifications

• Bachelor's degree
• 4 to 6 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred.
• Strong working knowledge of the IA Act of 1940 and the ICA of 1940
• Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
• Knowledge of CFTC / NFA as well as FINRA requirements is a plus.
• 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
• Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ client
• 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
• Ability to establish and maintain effective working relationships with employees and clients 

See more jobs at IQ EQ

Apply for this job