Associate- Regulatory Compliance (Alternative Assets) at IQ-EQ

New York, New York, United States -

Full Time

Start Date

Immediate

Expiry Date

29 May, 26

Salary

72000.0

Posted On

28 Feb, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Compliance, SEC Rules, Investment Advisers Act Of 1940, Policy Drafting, Procedure Drafting, Regulatory Filings, Marketing Material Review, Trading Practice Analysis, Personal Securities Transactions, Compliance Violation Investigation, Forensic Testing, Employee Training Compliance, Analytical Skills, Technical Skills, Software Skills, Excel

Industry

Financial Services

Description

Company Description We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We’re driven by our Group purpose, to power people and possibilities. Job Description Provide regulatory compliance support to IQEQ’s 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 you’ll do You'll monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940. You'll draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials. You'll analyze clients’ trading practices and personal securities transactions to identify potential compliance issues. You'll investigate compliance violations, document findings, and ensure corrective actions align with client policies. You'll 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 ($63,000-$72,000). Qualifications You hold a bachelor’s 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. We’re 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 5,800+ 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. We’re 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. We’re emotionally invested in our clients right from the beginning. #LI-HYBRID Department: Client Services Type of Hire: Permanent

Responsibilities

The role involves monitoring and maintaining client compliance programs to ensure adherence to federal securities laws, including drafting regulatory policies, procedures, and filings while conducting initial reviews of marketing materials. Responsibilities also include analyzing trading practices, investigating violations, documenting findings, supporting regulatory exams, and performing forensic testing and training compliance reviews.