Senior Associate - Regulatory Compliance (Alternative Assets)

About the role

This position demands a high level of precision, independent problem-solving, and critical thinking, with minimal delegation and a strong emphasis on accountability and follow-through. The role involves developing and testing compliance programs for clients in the alternative and traditional investment sectors, including private equity, hedge funds, and venture capital, while also supporting regulatory exams and outsourced CCO functions. Success in this role requires professionalism, sound decision-making, and adaptability to client-driven schedules and deadlines.

Responsibilities

• Advising clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act
• Assisting clients during regulatory examinations by agencies like the SEC, NFA, and state securities boards
• Reviewing marketing materials to ensure they meet regulatory standards and helping clients perform ongoing compliance functions such as monitoring trading and communications
• Preparing and filing required U.S. regulatory documents and creating training programs on relevant regulations
• Designing testing systems, drafting policies and procedures, mentoring junior team members, and taking on special compliance-related projects as needed

Qualifications

• A Bachelor’s degree and two plus years of relevant compliance experience
• Working knowledge of key regulations like the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules
• Proficiency in MS Office tools like Excel and Word, and ability to build strong relationships with both clients and colleagues
• Dependability, flexibility, and responsiveness to shifting client needs and priorities
• Strong organizational, analytical, and communication skills, with the ability to work independently, multitask, and make sound judgments in a fast-paced environment

Skills

• Compliance experience in the investment sector
• Knowledge of key U.S. securities laws and regulations
• Experience with regulatory examinations and client-driven tasks
• Proficiency in MS Office tools
• Ability to build and maintain strong client relationships

Benefits

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.

Pay

The salary for this position will be dependent on experience and location ($70,000-$95,000).

Schedule

Our hybrid work schedule promotes both personal and professional fulfillment.