IQ-EQ
Associate- Regulatory Compliance (Alternative Assets)
IQ-EQ, Dallas, Texas, United States, 75215
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. 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, including 4 weeks of PTO that increases over time, sick time and paid holidays, and 401(k) plan with company match. Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans. Paid parental leave and hybrid work schedule to promote personal and professional fulfillment. Salary dependent on experience and location ($62,000-$72,000). Qualifications
Bachelor’s degree with strong analytical, technical, and software skills, especially in Excel and Word. Clear and effective communication in writing and speech, with 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. Strong working relationships with colleagues and clients through professionalism and collaboration. Location
Dallas, TX Seniority level
Mid‑Senior level Employment type
Full‑time Job function
Finance Referrals increase your chances of interviewing at IQ‑EQ by 2x
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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. 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, including 4 weeks of PTO that increases over time, sick time and paid holidays, and 401(k) plan with company match. Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans. Paid parental leave and hybrid work schedule to promote personal and professional fulfillment. Salary dependent on experience and location ($62,000-$72,000). Qualifications
Bachelor’s degree with strong analytical, technical, and software skills, especially in Excel and Word. Clear and effective communication in writing and speech, with 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. Strong working relationships with colleagues and clients through professionalism and collaboration. Location
Dallas, TX Seniority level
Mid‑Senior level Employment type
Full‑time Job function
Finance Referrals increase your chances of interviewing at IQ‑EQ by 2x
#J-18808-Ljbffr