Job details

Senior Associate - Compliance (Alternative Assets)

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

This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities, it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.

Responsibilities:

Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
Preparation and filing of required US regulatory filings
Prepare training for our clients regarding the Advisers Act or other regulatory requirements
Design and monitor testing systems to ensure the efficacy of controls and surveillance programs
Drafting regulatory policies and procedures
Mentor Associates
Perform other compliance-related responsibilities and special projects as needed

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
2+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, or JD
Working knowledge of the IA Act of 1940, the ICA of 1940, FINRA or NFA/CFTC regulations a plus

Additional Information

Salary based on experience and location ($92,000-$115,000) and full benefits package offered.

IQ-EQ Glassdoor Company Review

3.8

IQ-EQ DE&I Review

No rating

CEO of IQ-EQ

Mark Pesco

Approve of CEO

Average salary estimate

$103500 / YEARLY (est.)

min

max

$92000K

$115000K

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What You Should Know About Senior Associate - Compliance (Alternative Assets), IQ-EQ

At IQEQ, we’re on the lookout for a Senior Associate - Compliance specializing in Alternative Assets to join our dynamic compliance team in Dallas, TX. As a pivotal player in our firm, you'll engage with a variety of clients in the alternative asset industry, ensuring they navigate the intricacies of regulatory compliance with ease. Your day-to-day will include advising clients on adherence to key regulations like the Securities Act and the Advisers Act, as well as assisting in regulatory examinations aimed at refining compliance programs. We pride ourselves on fostering an environment that values technical thinking and independent problem solving, and this role is no different. You'll not only review marketing materials but also oversee compliance functions and prepare necessary US regulatory filings. Your analytical skills will shine as you draft policies and procedures while mentoring Associates who are eager to learn. We emphasize quality and accuracy in everything we do, so your attention to detail will be crucial. This isn’t just a job; it’s an opportunity to contribute to the compliance landscape of a growing firm, all while enjoying a supportive work culture. If you're ready to dive into the world of compliance for private equity and hedge fund managers, we want to hear from you!

Frequently Asked Questions (FAQs) for Senior Associate - Compliance (Alternative Assets) Role at IQ-EQ

What are the primary responsibilities of a Senior Associate - Compliance at IQEQ?

As a Senior Associate - Compliance at IQEQ, your primary responsibilities revolve around ensuring that clients in the alternative asset sector adhere to regulatory requirements. You’ll advise clients on compliance with the Securities Act and Advisers Act, assist during regulatory examinations, review marketing materials for compliance, and help maintain oversight of trading activities. Your role is integral in preparing the necessary US regulatory filings, conducting compliance training, and drafting regulatory policies.