Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ•Chicago, TX

1d•$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

Bachelor’s degree
Strong analytical, technical, and software skills, especially in Excel and Word.
Clear and effective communication, both in writing and speech, with a sharp eye for detail.
Sound judgment, discretion, and problem-solving abilities in high-stakes client matters.
Ability to thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs.
Ability to 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.
Conduct 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.
Perform quarterly forensic testing and employee training compliance reviews.