IQ-EQ · 2 days ago

Associate - Compliance

San Francisco, CA

Full-time

Hybrid

Mid Level

$60K/yr - $70K/yr

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Insider Connection @IQ-EQ

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Responsibilities

Monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended, in accordance with their compliance calendar

Drafting regulatory policies and procedures

Analyzing clients’ trading practices, including evaluating personal securities transactions

Ensuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures

Maintaining regulatory compliance with respect to the client’s employee training program

Conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures

Drafting and filing various regulatory filings for clients

Assist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards

Conduct initial reviews of marketing materials

Qualification

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Relationship buildingProblem-solvingCommunicationOrganizationalDependableFlexibleAdaptableCollaboration

Required

Bachelor’s degree

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

Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ 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

Ability to establish and maintain effective working relationships with employees and clients