Copy of Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ • Dallas, TX

4h • $65,000 - $72,000 • Hybrid

About The Position

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. Responsibilities include facilitating compliance services through hands-on assistance, performance, and review of key program elements.

Requirements

• You hold a bachelor’s degree and bring strong analytical, technical, and software skills, especially in Excel and Word.
• You communicate clearly and effectively, both in writing and speech, with a sharp eye for detail.
• You demonstrate sound judgment, discretion, and problem-solving abilities in high-stakes client matters.
• You thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs.
• You build and maintain strong working relationships with colleagues and clients through professionalism and collaboration.

Responsibilities

• 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.

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