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IQ-EQ · 1 day ago

Associate - Compliance (Alternative Assets)

New York, NY

Full-time

Hybrid

New Grad, Entry Level

$65K/yr - $72K/yr

IQ-EQ is a leading Investor Services group offering comprehensive services in administration and compliance for the investment sector. The Associate - Compliance role involves supporting the compliance team with regulatory programs, advising clients on U.S. securities laws, and managing core compliance functions while ensuring high standards of accuracy and professionalism.

AccountingFinanceFinancial ServicesReal EstateWealth Management

Responsibilities

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

Qualification

Compliance principlesInvestment Advisers ActInvestment Company ActFINRA rulesNFA/CFTC rulesMS OfficeAnalytical skillsCommunication skillsOrganizational skillsProblem-solvingRelationship building

Required

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