Job summary
Job post source
This job is directly from IQ-EQ
Job overview
The Senior Associate- Regulatory Compliance (Alternative Assets) at IQ-EQ plays a critical role in advising and supporting clients in compliance with regulatory requirements within the alternative and traditional investment sectors, impacting client regulatory adherence and risk management.
Responsibilities and impact
The role involves advising clients on securities laws compliance, assisting with regulatory exams, reviewing marketing materials, overseeing compliance functions like personal trading and email review, preparing regulatory filings, training clients, designing control testing systems, drafting policies, mentoring associates, and handling special compliance projects.
Compensation and benefits
The position offers a salary range of $65,000-$80,000 based on experience and location, along with a full benefits package including health insurance and retirement plans.
Experience and skills
Candidates must have a bachelor's degree, 2+ years of relevant compliance experience or a JD, strong analytical, organizational, communication skills, proficiency in Office software, knowledge of IA Act of 1940, ICA of 1940, FINRA or NFA/CFTC regulations, and the ability to work independently in a fast-paced environment.
Career development
IQ-EQ provides learning and development programs like PowerU and MyCampus, supports career growth, and fosters an inclusive culture with initiatives like IQ-EQ Launchpad to support women managers in private equity and venture capital.
Work environment and culture
IQ-EQ emphasizes sustainability, diversity, equity, inclusion, and a hybrid working approach that balances flexibility with connectivity among its global workforce of 5,800+ employees.
Company information
IQ-EQ is a leading global investor services group with over 5,800 employees in 25 jurisdictions, managing assets exceeding US$750 billion, serving top private equity firms with a commitment to ESG and innovative technology.
Team overview
The candidate will join IQ-EQ's compliance team focused on alternative and traditional investment clients, working collaboratively to develop and implement compliance programs and provide regulatory support.
Unique job features
The role offers the opportunity to work on complex compliance issues for high-profile clients in private equity, hedge funds, and venture capital, with responsibilities including outsourced Chief Compliance Officer functions and regulatory exam support.
Company overview
IQ-EQ is a global investor services group that provides a comprehensive range of compliance, administration, asset, and advisory services to investment funds, global companies, family offices, and private clients. They generate revenue through service fees for their expertise in fund administration, corporate services, private wealth, and compliance solutions. Founded in 2018 through the merger of SGG Group and Augentius, IQ-EQ has rapidly expanded its global footprint, emphasizing a client-centric approach and leveraging technology to enhance service delivery.
How to land this job
Tailor your resume to emphasize your expertise in regulatory compliance within alternative assets, highlighting your knowledge of the Securities Act, Advisers Act, and relevant regulatory frameworks such as SEC, NFA, and state securities boards.
Showcase your experience in advising clients, conducting regulatory exams, preparing compliance filings, and developing compliance programs, especially in private equity, hedge funds, and venture capital sectors.
Apply through multiple platforms including IQ-EQ’s official career page, LinkedIn, and specialized compliance job boards to maximize your application visibility.
Connect with current IQ-EQ compliance team members or those in alternative asset services on LinkedIn; start conversations by referencing recent regulatory changes or asking about their experience with IQ-EQ’s compliance culture and client engagement.
Optimize your resume for ATS by incorporating keywords like 'regulatory compliance,' 'Advisers Act,' 'compliance programs,' 'SEC examinations,' and 'alternative assets' to ensure it passes automated screenings effectively.
Leverage Jennie Johnson's Power Apply feature to automate tailored applications, identify multiple application channels, and find relevant LinkedIn contacts, allowing you to focus on preparing for interviews and networking.
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