Senior Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ•Dallas, TX

12d•Hybrid

About The Position

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.

Requirements

Bachelor’s degree
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
Proficient in MS Office tools like Excel and Word
Able to build strong relationships with both clients and colleagues
Dependable, flexible, and responsive to shifting client needs and priorities
Strong organizational, analytical, and communication skills
Ability to work independently, multitask, and make sound judgments in a fast-paced environment

Responsibilities

Advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act
Assist clients during regulatory examinations by agencies like the SEC, NFA, and state securities boards
Review marketing materials to ensure they meet regulatory standards and help clients perform ongoing compliance functions such as monitoring trading and communications
Prepare and file required U.S. regulatory documents
Create training programs on relevant regulations
Design testing systems
Draft policies and procedures
Mentor junior team members
Take on special compliance-related projects as needed