Associate - Compliance

Company 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

• Monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended, in accordance with their compliance calendar
• Drafting regulatory policies and procedures
• Analyzing clients’ trading practices, including evaluating personal securities transactions
• Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures
• Maintaining regulatory compliance with respect to the client’s employee training program
• Conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures
• Drafting and filing various regulatory filings for clients
• Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
• Conduct initial reviews of marketing materials

Qualifications

• Bachelor’s degree
• 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 clients
• 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

Additional Information

Salary Range: $55,000 - $70,000