Senior Associate- Regulatory Compliance (Alternative Assets)

IQ-EQ • Dallas, TX

7h • $70,000 - $90,000 • 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

• You have a Bachelor’s degree and two plus years of relevant compliance experience
• You need working knowledge of key regulations like the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules
• You must be proficient in MS Office tools like Excel and Word, and able to build strong relationships with both clients and colleagues
• You’re expected to be dependable, flexible, and responsive to shifting client needs and priorities
• You must demonstrate strong organizational, analytical, and communication skills, with the 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
• Be responsible for preparing and filing required U.S. regulatory documents and creating training programs on relevant regulations
• Design testing systems, draft policies and procedures, mentor junior team members, and take on special compliance-related projects as needed

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 ($70,000 - $90,000).

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level