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Compliance Associate

2 months ago

Dallas Texas, United States IQ-EQ Full time

Compliance Role at IQ-EQ

**Job Summary:**

We are seeking a highly skilled Compliance Associate to support our investment adviser clients by providing regulatory compliance services. The successful candidate will be responsible for overseeing the execution and continuous improvement of our clients' compliance programs, ensuring they 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 adherence to federal securities laws, including the Investment Advisers Act of 1940, as amended
* 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, including performing ongoing reviews based on the clients' written policies and procedures
* Draft and file various regulatory filings for clients
* Assist with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including the SEC, NFA, and various state securities boards
* Conduct initial reviews of marketing materials

**What We Offer:**

* The opportunity to work with leading private equity and hedge fund firms in the alternative asset industry
* A dynamic and experienced team of industry veterans
* A chance to make a meaningful contribution to our clients' compliance programs

**Requirements:**

* Strong knowledge of regulatory compliance requirements and best practices
* Excellent analytical and problem-solving skills
* Ability to work independently and as part of a team
* Strong communication and interpersonal skills

**Language:**

English