IQ-EQ Group
Senior Associate- Compliance (Alternative Assets)
IQ-EQ Group, Dallas, Texas, United States, 75215
Senior Associate- Compliance (Alternative Assets)
Job Description
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities; it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.Responsibilities:
Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directivesAssist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boardsAdvising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirementsAssist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted listsPreparation and filing of required US regulatory filingsPrepare training for our clients regarding the Advisers Act or other regulatory requirementsDesign and monitor testing systems to ensure the efficacy of controls and surveillance programsDrafting regulatory policies and proceduresPerform other compliance-related responsibilities and special projects as neededQualifications:
Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and WordMust be able to demonstrate strong organizational and problem-solving skills with attention to detailMust be able to demonstrate strong oral and written communication skillsStrong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clientsDependable, flexible, and adaptable to changing client needs and initiatives.Ability to work well in a fast-paced environmentMust be able to work independently, multi-task and prioritize effectivelyAbility to establish and maintain effective working relationships with employees and clients2+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, or JDWorking knowledge of the IA Act of 1940, the ICA of 1940, FINRA or NFA/CFTC regulations a plusAdditional Information:
Salary:
Based on experience and location ($65,000-$80,000) and full benefits package offered.Company Description:
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.Location:
2777 North Stemmons FreewayDallasUnited States
#J-18808-Ljbffr
Job Description
This position requires strong concern for quality and accuracy of work with a results-oriented focus. The work involves critical and technical thinking and problem solving based on detailed knowledge of all pertinent facts and thorough analysis of relevant details. There is an intense focus on complex, independent problem solving, self-direction and freedom of ideas. The individual in this position must maintain a professional demeanor and make sound, well thought-out decisions. This position requires little delegation of details or responsibilities; it is important that close, quick, and critical follow up occur to recognize and correct mistakes. The work schedule of this position will be dictated by client needs, workflow, and current deadlines. This hire will join the firm's compliance team in the assessment, development, implementation, and testing of compliance programs for our clients in the alternative and traditional investment sector, including private equity, hedge, and venture capital fund managers, in addition to providing Regulatory Exam support and outsourced Chief Compliance Officer (CCO) functions.Responsibilities:
Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directivesAssist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boardsAdvising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirementsAssist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted listsPreparation and filing of required US regulatory filingsPrepare training for our clients regarding the Advisers Act or other regulatory requirementsDesign and monitor testing systems to ensure the efficacy of controls and surveillance programsDrafting regulatory policies and proceduresPerform other compliance-related responsibilities and special projects as neededQualifications:
Analytical, technical, and technology skills with proficiency in basic Office software, including Excel and WordMust be able to demonstrate strong organizational and problem-solving skills with attention to detailMust be able to demonstrate strong oral and written communication skillsStrong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clientsDependable, flexible, and adaptable to changing client needs and initiatives.Ability to work well in a fast-paced environmentMust be able to work independently, multi-task and prioritize effectivelyAbility to establish and maintain effective working relationships with employees and clients2+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, or JDWorking knowledge of the IA Act of 1940, the ICA of 1940, FINRA or NFA/CFTC regulations a plusAdditional Information:
Salary:
Based on experience and location ($65,000-$80,000) and full benefits package offered.Company Description:
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.Location:
2777 North Stemmons FreewayDallasUnited States
#J-18808-Ljbffr