Intern - Compliance (Hybrid)
Location
Dallas, TX | United States
Job description
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.
Job Description
Minimum Responsibilities:
- Provide day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
- Draft and implement compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements;
- Conduct annual compliance reviews;
- Prepare compliance training materials;
- Prepare and submit regulatory filings;
- Monitor compliance employee personal trading and electronic communications;
- Prepare and maintain employee disclosure forms and assist client in organization and maintenance of required books and records; and
- Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
- Register clients as investment advisers with the appropriate regulatory bodies;
- Assist in conducting mock regulatory exams;
- Assist in providing SEC exam support; and
- Proactively provide practical, business friendly solutions for esoteric regulatory issues.
Qualifications
Education and Experience Requirements:
- Current student
- Excellent written and verbal communication skills;
- Strong, independent self –starter, as well as collaborative problem solver;
- Strong research skills;
- Ability to multi-task across a range of projects with constantly shifting priorities; and
- Ability to work 15-20 hours per week.
- Ability to work for a full year
Additional Information
All your information will be kept confidential according to EEO guidelines.
Salary: $20/hour
Job tags
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