Senior Compliance Officer
6 days ago
We are seeking a highly skilled Senior Compliance Officer to join our team at IQ-EQ. This is a fantastic opportunity for a seasoned compliance professional to take on a challenging role and make a real impact in the alternative investment sector.
Job SummaryThe Senior Compliance Officer will be responsible for leading engagements for the development, implementation, and maintenance of compliance programs for various financial services firms. This includes overseeing staff in the development and implementation of compliance policies and procedures, leading annual compliance reviews and internal control testing, and providing training to clients on regulatory requirements and best practices.
Key Responsibilities- Develop and implement compliance programs for financial services firms, ensuring adherence to relevant regulations and industry standards.
- Lead annual compliance reviews and internal control testing, identifying areas for improvement and implementing corrective actions.
- Provide training to clients on regulatory requirements and best practices, ensuring they have the necessary knowledge and skills to maintain compliance.
- Register clients as broker-dealers or investment advisers with the appropriate regulatory bodies, ensuring timely and accurate submissions.
- Conduct mock regulatory exams and provide SEC and FINRA exam support, helping clients prepare for and navigate regulatory inspections.
- 15+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, with a strong working knowledge of the IA Act of 1940 and the ICA of 1940.
- Experience practicing law regarding registered investment companies is a plus, as is knowledge of CFTC / NFA and FINRA requirements.
- Strong analytical and problem-solving skills, with the ability to think critically and strategically.
- Excellent communication and interpersonal skills, with the ability to work effectively with clients, colleagues, and regulatory bodies.
We offer a competitive salary based on experience and location ($200,000-$250,000) and a comprehensive benefits package. If you are a motivated and experienced compliance professional looking for a new challenge, we encourage you to apply.
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