Associate - Compliance (Alternative Assets)
IQ-EQ is a leading Investor Services group offering comprehensive services in administration and compliance for the investment sector. The Associate - Compliance role involves supporting the compliance team with regulatory programs, advising clients on U.S. securities laws, and managing core compliance functions while ensuring high standards of accuracy and professionalism.
Responsibilities
- You'll advise clients on compliance with U.S. securities laws including the Securities Act, Exchange Act, and Advisers Act, and review marketing materials to ensure regulatory alignment
- You'll assist with regulatory examinations conducted by the SEC, NFA, and state securities boards, and support clients with required U.S. regulatory filings
- You'll help manage core compliance functions such as personal trading oversight, email reviews, trade monitoring, and maintaining restricted lists
- You'll design and monitor testing systems to evaluate the effectiveness of compliance controls, draft regulatory policies, and deliver training on relevant regulations
- You'll mentor associates and contribute to special projects, ensuring high standards of accuracy, professionalism, and independent problem-solving in all compliance-related tasks
Skills
- You hold a Bachelor's degree and bring a foundational understanding of compliance principles, ready to grow within a fast-paced regulatory environment
- You possess working knowledge of key regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules
- You are proficient in MS Office tools, especially Excel and Word, and excel at building strong relationships with clients and colleagues
- You demonstrate dependability, flexibility, and responsiveness, adapting quickly to shifting client needs and priorities
- You bring strong organizational, analytical, and communication skills, with the ability to multitask, work independently, and make sound decisions
Benefits
- Generous paid time off, including 4 weeks of PTO that increases over time
- Sick time and paid holidays
- 401(k) plan with a company match (subject to eligibility)
- Medical, dental, vision, mental health support and additional ancillary insurance plans
- Paid parental leave
- Hybrid work schedule
Company Overview