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Job Description
This position demands a high level of accuracy, critical thinking, and independent problem-solving, and a strong focus on quality and results. The role involves analyzing complex compliance issues and developing, implementing, and testing compliance programs for clients in the alternative and traditional investment sectors. It requires professionalism, sound judgment, and adaptability to client-driven schedules, while also supporting regulatory exams and outsourced Chief Compliance Officer functions.
What you’ll do
- You'll independently manage client engagements, providing strategic compliance guidance with minimal oversight from senior leadership
- You’re responsible for ensuring timely and accurate completion of client deliverables, including annual reviews, regulatory filings, and updates to compliance policies and procedures
- You will lead client trainings, mock regulatory exams, and provide hands-on support during SEC and FINRA examinations
- You’ll stay on top of regulatory changes, guide clients in developing internal controls, and offer practical solutions to complex compliance issues
- You will help foster a collaborative team culture, mentor junior staff, and support firm-wide initiatives such as business development and and operational excellence beyond client work
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 fulfilment.
- The salary for this position will be dependent on experience and location ($140,000-$160,000).
Qualifications
- You bring 10 plus years of compliance experience, ideally from a registered investment adviser, law firm, investment consulting firm, or have practiced law regarding registered investment companies
- You have a strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
- You’re familiar with SEC examination practices and preferably have hands-on experience with both actual and mock exams.
- You understand regulatory frameworks beyond the SEC, including CFTC, NFA, and FINRA requirements.
- You’re expected to apply your regulatory knowledge to guide clients effectively and ensure their compliance programs are robust and up to date.
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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