Senior Associate - Regulatory Compliance (Private Funds)
Senior Associate - Regulatory Compliance (Private Funds)
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Job Description
This position demands a high level of precision independent problem-solving and critical thinking with minimal delegation and a strong emphasis on accountability and follow-through. The role involves developing and testing compliance programs for clients in the alternative and traditional investment sectors including private equity hedge funds and venture capital while also supporting regulatory exams and outsourced CCO functions. Success in this role requires professionalism sound decision-making and adaptability to client-driven schedules and deadlines.
What youll do
- You will advise clients on compliance with key U.S. securities laws including the Securities Act Exchange Act and Advisers Act
- Youll assist clients during regulatory examinations by agencies like the SEC NFA and state securities boards
- You will review marketing materials to ensure they meet regulatory standards and help clients perform ongoing compliance functions such as monitoring trading and communications
- Youll be responsible for preparing and filing required U.S. regulatory documents and creating training programs on relevant regulations
- You will design testing systems draft policies and procedures mentor junior team members and take on special compliance-related projects as needed
What we offer
- IQ-EQ offers a comprehensive benefits package designed to support employees well-being and work-life balance
- Employees receive generous paid time off including 20 days of PTO and 7 sick days annually with PTO increasing over time. The company also observes 10 paid holidays each year and financial wellness is supported through a 401(k) plan with a company match (subject to eligibility)
- Health benefits include medical dental vision mental health support and additional ancillary insurance plans
- Additional benefits include paid parental leave and a hybrid work schedule promoting both personal and professional fulfillment
- The salary for this position will be dependent on experience and location ($65000 - $85000)
Qualifications :
- You have a Bachelors degree and two plus years of relevant compliance experience
- You need working knowledge of key regulations like the Investment Advisers Act of 1940 Investment Company Act of 1940 and FINRA or NFA/CFTC rules
- You must be proficient in MS Office tools like Excel and Word and able to build strong relationships with both clients and colleagues
- Youre expected to be dependable flexible and responsive to shifting client needs and priorities
- You must demonstrate strong organizational analytical and communication skills with the ability to work independently multitask and make sound judgments in a fast-paced environment
Additional Information :
Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.
There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5800 employees - from 94 nationalities across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.
Were committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success leads to our sustainability and success. Were emotionally invested in our clients right from the beginning.
#LI-HYBRID
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
