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Job Description
This role demands a high level of precision, independent problem-solving, and critical thinking, with minimal delegation and a strong focus on quality and accuracy. The position supports the compliance team in developing, implementing, and testing regulatory programs for clients in the investment sector, including private equity, hedge funds, and venture capital. It also involves providing support for regulatory exams and outsourced Chief Compliance Officer (CCO) functions, with work schedules driven by client needs and deadlines.
What you’ll do
- You'll advise clients on compliance with U.S. securities laws including the Securities Act, Exchange Act, and Advisers Act, and review marketing materials to ensure regulatory alignment.
- You'll assist with regulatory examinations conducted by the SEC, NFA, and state securities boards, and support clients with required U.S. regulatory filings.
- You'll help manage core compliance functions such as personal trading oversight, email reviews, trade monitoring, and maintaining restricted lists.
- You'll design and monitor testing systems to evaluate the effectiveness of compliance controls, draft regulatory policies, and deliver training on relevant regulations.
- You'll mentor associates and contribute to special projects, ensuring high standards of accuracy, professionalism, and independent problem-solving in all compliance-related tasks.
What we offer
- IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance
- Employees receive generous paid time off, including 20 days of PTO and 7 sick days annually, with PTO increasing over time. The company also observes 10 paid holidays each year, 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 ($60,000-$70,000)
Qualifications
- You hold a Bachelor's degree and bring a foundational understanding of compliance principles, ready to grow within a fast-paced regulatory environment.
- You possess working knowledge of key regulations, including the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules.
- You are proficient in MS Office tools, especially Excel and Word, and excel at building strong relationships with clients and colleagues.
- You demonstrate dependability, flexibility, and responsiveness, adapting quickly to shifting client needs and priorities.
- You bring strong organizational, analytical, and communication skills, with the ability to multitask, work independently, and make sound decisions.
Additional information
Our commitment to you and the environment
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
#LI-HYBRID
Company description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
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