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Compliance Associate

2 months ago

Chicago, Illinois, United States IQ-EQ Full time
Job Title: Compliance Associate - Alternative Assets

IQ-EQ is a leading service provider to the alternative asset industry, offering a range of services including hedge fund, private equity fund, and mutual fund launches, as well as regulatory compliance and financial controls.

Job Summary

We are seeking a highly motivated and detail-oriented Compliance Associate to join our team. The successful candidate will be responsible for providing regulatory compliance services to our investment adviser clients, ensuring that their compliance programs meet the requirements of SEC Rules and 38a-1, as well as other state and federal securities laws and regulations.

Key Responsibilities
  • Monitor and maintain compliance programs for clients to ensure compliance with federal securities laws
  • Draft regulatory policies and procedures
  • Analyze clients' trading practices, including evaluating personal securities transactions
  • Ensure compliance violation reports are properly investigated and appropriate action is taken and documented
  • Maintain regulatory compliance with respect to the client's employee training program
  • Conduct quarterly forensic compliance program testing
  • Draft and file various regulatory filings for clients
  • Assist with regulatory examinations of clients' compliance programs
Requirements
  • Bachelor's degree
  • Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and Word
  • Strong organizational and problem-solving skills with attention to detail
  • Strong oral and written communication skills
  • Ability to work well in a fast-paced environment
  • Ability to work independently, multi-task and prioritize effectively
What We Offer

We offer a competitive salary based on experience and location, as well as a full benefits package. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.