Associate - Compliance (Alternative Assets)

IQ-EQ • New York, NY

1d • $65,000 - $72,000 • Hybrid

About The Position

This role demands a high level of precision, independent problem-solving, and critical thinking, with minimal delegation and a strong focus on quality and accuracy. The position supports the compliance team in developing, implementing, and testing regulatory programs for clients in the investment sector, including private equity, hedge funds, and venture capital. It also involves providing support for regulatory exams and outsourced Chief Compliance Officer (CCO) functions, with work schedules driven by client needs and deadlines.

Requirements

• You hold a Bachelor's degree and bring a foundational understanding of compliance principles, ready to grow within a fast-paced regulatory environment.
• You possess working knowledge of key regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules.
• You are proficient in MS Office tools, especially Excel and Word, and excel at building strong relationships with clients and colleagues.
• You demonstrate dependability, flexibility, and responsiveness, adapting quickly to shifting client needs and priorities.
• You bring strong organizational, analytical, and communication skills, with the ability to multitask, work independently, and make sound decisions.

Responsibilities

• Advise clients on compliance with U.S. securities laws including the Securities Act, Exchange Act, and Advisers Act, and review marketing materials to ensure regulatory alignment.
• Assist with regulatory examinations conducted by the SEC, NFA, and state securities boards, and support clients with required U.S. regulatory filings.
• Help manage core compliance functions such as personal trading oversight, email reviews, trade monitoring, and maintaining restricted lists.
• Design and monitor testing systems to evaluate the effectiveness of compliance controls, draft regulatory policies, and deliver training on relevant regulations.
• Mentor associates and contribute to special projects, ensuring high standards of accuracy, professionalism, and independent problem-solving in all compliance-related tasks.

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.
• The salary for this position will be dependent on experience and location ($65,000-$72,000).

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees