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.What you’ll do You'll 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.You'll assist with regulatory examinations conducted by the SEC, NFA, and state securities boards, and support clients with required U.S. regulatory filings.You'll help manage core compliance functions such as personal trading oversight, email reviews, trade monitoring, and maintaining restricted lists.You'll design and monitor testing systems to evaluate the effectiveness of compliance controls, draft regulatory policies, and deliver training on relevant regulations.You'll mentor associates and contribute to special projects, ensuring high standards of accuracy, professionalism, and independent problem-solving in all compliance-related tasks.What we offer IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balanceEmployees receive generous paid time off, including 20 days of PTO and 7 sick days annually, with PTO increasing over time. The company also observes 10 paid holidays each year, 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 plansAdditional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillmentThe salary for this position will be dependent on experience and location ($60,000-$70,000)
