IQ-EQ
Associate- Regulatory Compliance (Alternative Assets)
IQ-EQ, Dallas, Texas, United States, 75215
Associate- Regulatory Compliance (Alternative Assets)
6 days ago Be among the first 25 applicants
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.
What You’ll Do
Monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940.
Draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials.
Analyze clients’ trading practices and personal securities transactions to identify potential compliance issues.
Investigate compliance violations, document findings, and ensure corrective actions align with client policies.
Support regulatory exams and perform quarterly forensic testing and employee training compliance reviews.
What We Offer
Comprehensive benefits package designed to support employees' well‑being and work‑life balance.
Generous paid time off (4 weeks PTO increasing over time), sick time, paid holidays, 401(k) plan with company match (subject to eligibility).
Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans.
Paid parental leave and a hybrid work schedule.
Salary range $65,000–$72,000 depending on experience and location.
Qualifications
Bachelor’s degree and strong analytical, technical, and software skills, especially in Excel and Word.
Clear and effective communication in writing and speech, with a sharp eye for detail.
Sound judgment, discretion, and problem‑solving abilities in high‑stakes client matters.
Ability to thrive in fast‑paced environments, managing multiple priorities independently while remaining flexible to client needs.
Ability to build and maintain strong working relationships with colleagues and clients through professionalism and collaboration.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance
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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.
What You’ll Do
Monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940.
Draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials.
Analyze clients’ trading practices and personal securities transactions to identify potential compliance issues.
Investigate compliance violations, document findings, and ensure corrective actions align with client policies.
Support regulatory exams and perform quarterly forensic testing and employee training compliance reviews.
What We Offer
Comprehensive benefits package designed to support employees' well‑being and work‑life balance.
Generous paid time off (4 weeks PTO increasing over time), sick time, paid holidays, 401(k) plan with company match (subject to eligibility).
Health benefits including medical, dental, vision, mental health support and additional ancillary insurance plans.
Paid parental leave and a hybrid work schedule.
Salary range $65,000–$72,000 depending on experience and location.
Qualifications
Bachelor’s degree and strong analytical, technical, and software skills, especially in Excel and Word.
Clear and effective communication in writing and speech, with a sharp eye for detail.
Sound judgment, discretion, and problem‑solving abilities in high‑stakes client matters.
Ability to thrive in fast‑paced environments, managing multiple priorities independently while remaining flexible to client needs.
Ability to build and maintain strong working relationships with colleagues and clients through professionalism and collaboration.
Seniority Level Mid‑Senior level
Employment Type Full‑time
Job Function Finance
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