Manager, Regulatory & Compliance

• IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.

Opportunity: Our Advisory Services team provides custom advisory services to clients including hedge funds, private equity, fund of funds, real estate, venture capital, family offices, wealth management firms, and broker/dealers. We utilize our deep expertise in finance, accounting, compliance, fund administration, operations, and due diligence to support various aspects of our client’s non-investment business function. Our team successfully ensures that projects are executed efficiently and in accordance with industry leading practices and regulatory requirements.

Within this role you will have the opportunity to participate in various projects including, but not limited to Operational Due Diligence Assessments, Loan Transaction Review, Due Diligence Questionnaire and Policy Creation Support Services, Project Management, Strategic Development, Launch and Winddown Advisory, and Corporate Secretarial Services. This breadth of work allows individuals on our team to find their niche and apply themselves in those areas.

A strong Operational Due Diligence background lends itself to several other projects for which our group is engaged.

Role-Specific Accountabilities:

• Comfortable working in a consultive and innovative environment
• Supporting the project management of each client engagement, including timelines and deliverables
• Complete fund related document reviews e.g., Prospectus, Limited Partnership Agreement, Investment Management Agreement, etc.
• Participate in and accurately document assessment discussions with clients, including virtual meetings with fund manager personnel
• Draft comprehensive meeting reports (ranging from approximately 20-40 pages) and discuss findings with the team prior to finalization
• Work on projects to enhance the efficiency of and effectiveness of investment firms and assist in the documentation of various policies and procedures
• Support the team to identify, verify, analyze, and implement process improvement opportunities
• Contribute to strong working relationships within functional teams across the organization

• Bachelor’s Degree in accounting, law, or finance
• Minimum 7-10 years of relevant work experience in the areas of due diligence, compliance, accounting, project management, or consulting preferably at an alternative investment manager, Big Four or sell-side institution such as a prime brokerage firm
• Project Management Professional (“PNP”) Certification would be a plus
• Knowledgeable in a wide range of asset classes, financial instruments, and alternative investments not limited to hedge, private equity and credit, real estate, and infrastructure
• Understanding of industry standards and best practices relating to internal controls and procedures, risk management, operational due diligence, and investment regulations
• Familiarity with ODD related systems, procedures, reporting and policies
• Strong PowerPoint skills, experience with Visio is a plus
• Proficient in MS Office suite of applications, including Excel
• Demonstrate solid interpersonal, writing, and communication skills
• Ability to manage multiple projects and timelines. Exhibit high attention to detail and accuracy
• Comfortable with assisting senior team members with various levels of work and ad-hoc projects in a timely manner
• Ability to perform data analytics to streamline or automate workflow processes
• Provide a redacted writing sample

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.