Compliance Specialist
5 days ago
Job Description
IQ-EQ is seeking a highly skilled Compliance Specialist to join our team in providing regulatory compliance services to our investment adviser clients. In this role, you will be responsible for supporting and assisting clients with the execution and continuous improvement of their compliance programs.
Responsibilities:
- Assist clients in monitoring and maintaining compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940;
- Draft and implement regulatory policies and procedures;
- Conduct quarterly forensic compliance program testing, including performing ongoing reviews based on clients' written policies and procedures;
- Draft and file various regulatory filings for clients.
Qualifications
To be successful in this role, you should have a Bachelor's degree and strong analytical, technical, and technology skills, with proficiency in basic office software, including Excel and Word. You must also demonstrate strong organizational and problem-solving skills, attention to detail, and excellent oral and written communication skills.
We are looking for a dedicated individual who is committed to upholding first-class standards and providing exceptional customer service. The ideal candidate will have strong analytical skills, the ability to exercise discretion, and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clients.
Salary Information
The estimated annual salary for this role is between $70,000 and $90,000, depending on location and experience.
About Us
IQ-EQ is a leading provider of fund administration, corporate secretarial, and middle office services to the alternative asset industry. We offer a dynamic and supportive work environment, with opportunities for professional growth and development.
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