Copy of Associate- Regulatory Compliance… at IQ-EQ · New York

Summary: IQ-EQ is a leading Investor Services group that offers comprehensive services in regulatory compliance for the investment sector. The role involves providing regulatory compliance support to investment adviser clients, ensuring adherence to SEC rules and assisting in the execution and enhancement of compliance programs. Responsibilities: - You'll monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940 - You'll draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials - You'll analyze clients’ trading practices and personal securities transactions to identify potential compliance issues - You'll investigate compliance violations, document findings, and ensure corrective actions align with client policies - You'll support regulatory exams and perform quarterly forensic testing and employee training compliance reviews Required Qualifications: - You hold a bachelor's degree and bring strong analytical, technical, and software skills, especially in Excel and Word - You communicate clearly and effectively, both in writing and speech, with a sharp eye for detail - You demonstrate sound judgment, discretion, and problem-solving abilities in high-stakes client matters - You thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs - You build and maintain strong working relationships with colleagues and clients through professionalism and collaboration Required Skills: Regulatory Compliance, SEC Rules 206(4)-7, 38a-1, Securities Laws, Compliance Program Management, Regulatory Policy Drafting, Marketing Material Review, Trading Practices Analysis, Personal Securities Transactions Analysis, Compliance Violation Investigation, Regulatory Exams Support, Forensic Testing, Employee Training Compliance Reviews, Microsoft Excel, Microsoft Word, Judgment, Discretion Benefits: Generous paid time off, including 4 weeks of PTO that increases over time, Sick time and paid holidays, Financial wellness is supported through a 401(k) plan with a company match (subject to eligibility), Health benefits include medical, dental, vision, mental health support and additional ancillary insurance plans, Paid parental leave, A hybrid work schedule, promoting both personal and professional fulfillment