Senior Associate – Compliance (Alternative Assets)

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

Qualifications

  • Bachelors degree
  • 3+ years of relevant expereince 
  • 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 Blue River and/or Blue River 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

Salary based on experience and location ($65,000 - $90,000) and full benefit package offered. 

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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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