New York, United States

Associate Compliance (Remote Optional)

Full-time / part-time
Compliance & Risk
250 West 57th Street
New York
United States

Job description

You will be facilitating our service offering by assisting in the performance of, and being responsible for, among other things

  • Assisting in the monitoring and maintaining of compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended
  • Conducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulations
  • Assisting with managing clients’ registrations with applicable regulators, including the SEC and CFTC
  • Assisting with preparing and maintaining Form ADV
  • Assisting in drafting regulatory policies and procedures
  • Analyzing clients’ trading practices, including evaluating personal securities transactions
  • Ensuring all compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures 
  • Analyzing the regulatory environment for updates that might apply to clients
  • Assisting in conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures
  • Assisting in drafting and filing various regulatory forms and schedules for clients 
  • Assisting with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards



  • Bachelors degree
  • Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word
  • Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
  • Must be able to demonstrate strong oral and written communication skills
  • Dedicated to upholding first-class standards and exceptional customer service focus
  • Strong analytical skills with the 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
  • Must be able to work independently, multi-task and prioritize effectively
  • Highly motivated and goal oriented
  • Ability to establish and maintain effective working relationships with employees and clients
  • Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.

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