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Regulatory Compliance Specialist
1 month ago
Job Summary:
IQ-EQ is seeking a highly skilled Regulatory Compliance Specialist to support and assist our investment adviser clients by providing regulatory compliance services through oversight of the execution and continuous improvement of the client's compliance program.
Key Responsibilities:
- Assist with monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940.
- Draft regulatory policies and procedures.
- Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on the clients' written policies and procedures.
- Draft and file various regulatory filings for clients.
Qualifications:
- Bachelor's degree.
- Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word.
- Strong organizational and problem-solving skills with attention to detail.
- Strong oral and written communication skills.
- Dedicated to upholding first-class standards and exceptional customer service focus.
- Ability to work well in a fast-paced environment.
- Ability to work independently, multi-task and prioritize effectively.
- Ability to establish and maintain effective working relationships with employees and clients.
