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.What you’ll doYou'll monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940.You'll draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials.You'll analyze clients’ trading practices and personal securities transactions to identify potential compliance issues.You'll investigate compliance violations, document findings, and ensure corrective actions align with client policies.You'll support regulatory exams and perform quarterly forensic testing and employee training compliance reviews.What we offerIQ-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).
