Mohammed Ghouse
Assistant Manager @IQ-EQ
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WORK HISTORY
Assistant Manager @IQ-EQ
IN
Delivering compliance projects and providing regulatory support. Key responsibilities include conducting monitoring program assessments, reviewing policies, drafting documentation, and contributing to thought leadership in regulatory space.Managed SEC filings, including Form 13F and 13H, ensuring accurate filing preparations and adherence to regulatory requirements. Familiar with using EDGAR for filings and monitoring procedures.Assisted in filings related to Form D and \"Blue Sky,\" understanding their impact and leveraging them for client reporting and compliance needs. Drafted and reviewed key regulatory filings and disclosures, including Form ADV, Form PF, Form PQR, and Form NPX.Managed compliance obligations related to custody rules, fee and expense disclosures, and quarterly reporting (QTR).Oversaw personal trading monitoring and ensured adherence to firm-wide Code of Ethics policies.
ABOUT MOHAMMED GHOUSE
I am a regulatory compliance and SEC filing professional with over a decade of experience supporting U.S. financial markets, specializing in EDGAR-based filings and end-to-end compliance operations.Currently, I work as an Assistant Manager in U.S. Regulatory & Compliance, where I deliver compliance projects, conduct monitoring program assessments, review policies and disclosures, and support clients with complex SEC obligations. I have hands-on experience with a wide range of filings, including Form 13F, 13H, D, ADV, PF, PQR, NPX and Blue-Sky filings, and I am comfortable leveraging EDGAR and related tools to ensure accurate, timely submissions.
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