Associate- Regulatory Compliance (Alternative Assets)

Provide regulatory compliance support to IQEQs investment adviser clients ensuring adherence to SEC Rules 206(4)-7 and 38a-1 as well as other applicable securities laws. Assist in executing maintaining and enhancing compliance programs to reflect evolving regulations and industry best practices. Collaborate directly with top-tier private equity and hedge fund firms guided by a seasoned team of industry experts. Responsibilities include facilitating compliance services through hands-on assistance performance and review of key program elements.

What youll do

• Youll monitor and maintain client compliance programs to ensure adherence to federal securities laws including the Investment Advisers Act of 1940.
• Youll draft regulatory policies procedures and filings while conducting initial reviews of marketing materials.
• Youll analyze clients trading practices and personal securities transactions to identify potential compliance issues.
• Youll investigate compliance violations document findings and ensure corrective actions align with client policies.
• Youll support regulatory exams and perform quarterly forensic testing and employee training compliance reviews.

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 4 weeks of PTO that increases over time sick time and paid holidays 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-$72000).

Qualifications :

• You hold a bachelors degree and bring strong analytical technical and software skills especially in Excel and Word.
• You communicate clearly and effectively both in writing and speech with a sharp eye for detail.
• You demonstrate sound judgment discretion and problem-solving abilities in high-stakes client matters.
• You thrive in fast-paced environments managing multiple priorities independently while staying flexible to client needs.
• You build and maintain strong working relationships with colleagues and clients through professionalism and collaboration.

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.  

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Remote Work :

No

Employment Type :

Full-time