Associate - Compliance (Alternative Assets)

Position Summary: Support and assist IQEQ’s investment adviser client by providing regulatory compliance services through oversight of the execution and continuous improvement of the client’s compliance program, which meet the requirements of SEC Rules 206(4)-7 and 38a-1, including other state and federal securities laws and regulations.  Update the client’s compliance programs as necessary to keep them current with new regulatory requirements and best business practices.  You will be working directly with leading private equity and hedge fund firms in the alternative asset industry under the guidance and direction from our experienced team of industry veterans. You will be facilitating our service offering by assisting, performing, and reviewing the following: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 calendarDrafting regulatory policies and proceduresAnalyzing clients’ trading practices, including evaluating personal securities transactionsEnsuring compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and proceduresMaintaining regulatory compliance with respect to the client’s employee training programConducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and proceduresDrafting and filing various regulatory filings for clientsAssist with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boardsConduct initial reviews of marketing materials