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Compliance Associate

2 months ago

Dallas, Texas, United States IQ-EQ Full time
Job Title: Senior Associate- Compliance

IQ-EQ is a leading Investor Services group that combines global expertise with a strong focus on client service delivery. We support fund managers, global companies, family offices, and private clients operating worldwide.

Job Summary

This position requires a strong commitment to quality and accuracy, with a results-driven focus. The work involves critical thinking, problem-solving, and technical expertise based on detailed knowledge of relevant facts and thorough analysis of details. The individual in this position must maintain a professional demeanor and make sound, well-thought-out decisions. This role requires minimal delegation of details or responsibilities, with a focus on close, quick, and critical follow-up to recognize and correct mistakes.

Key Responsibilities
  • Advise clients on compliance with relevant regulatory directives, including the Securities Act, Securities Exchange Act, Advisers Act, and other applicable regulations.
  • Assist with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including the SEC, NFA, and various state securities boards.
  • Review and advise on firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist clients in performing compliance functions, such as oversight of personal trading, email review, monitoring of firm trading activities, and maintaining restricted lists.
  • Prepare and file required US regulatory filings.
  • Develop and deliver training for clients on the Advisers Act or other regulatory requirements.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
  • Draft regulatory policies and procedures.
  • Mentor junior team members.
  • Perform other compliance-related responsibilities and special projects as needed.
Requirements
  • Bachelor's degree.
  • Strong analytical, technical, and technology skills, with proficiency in basic Office software, including Excel and Word.
  • Ability to demonstrate strong organizational and problem-solving skills, with attention to detail.
  • Strong oral and written communication skills.
  • Ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients.
  • Dependable, flexible, and adaptable to changing client needs and initiatives.
  • Ability to work well in a fast-paced environment.
  • Ability to work independently, multi-task, and prioritize effectively.
  • Ability to establish and maintain effective working relationships with employees and clients.
  • 2+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, or JD.
  • Working knowledge of the IA Act of 1940, the ICA of 1940, FINRA, or NFA/CFTC regulations a plus.
What We Offer

Salary based on experience and location ($65,000-$80,000) and a full benefits package offered.