Provide regulatory compliance support to IQEQ’s investment adviser clients, ensuring their compliance programs meet SEC Rules 206(4)-7 and 38a-1, along with other applicable state and federal securities laws. Responsibilities include maintaining and updating compliance programs to reflect regulatory changes and best practices. Work directly with top private equity and hedge fund firms in the alternative asset industry, under the guidance of seasoned professionals. Key tasks involve assisting, performing, and reviewing various compliance-related activities to facilitate the firm’s service offerings.
What you’ll do
- You'll participate in developing, implementing, and maintaining compliance programs for financial services firms.
- You'll lead annual compliance reviews, internal control testing, and conduct mock regulatory exams while supporting SEC and FINRA exams.
- You'll deliver onsite training to clients on regulatory requirements and best practices, and register them as broker-dealers or investment advisers.
- You'll train staff on firm processes, new regulations, and industry updates, while coaching junior team members and fostering a collaborative culture.
- You'll oversee client engagements, contribute to special projects, and lead firm initiatives such as business development, thought leadership, and internal training.
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 ($195,000 - $265,000).