Compliance Officer II
3 weeks ago
IQ-EQ Compliance Officer II Job Description
The Compliance Officer II will provide regulatory compliance services to IQ-EQ's investment adviser clients through oversight of the execution and continuous improvement of the client's compliance program. This includes monitoring and maintaining compliance programs, drafting regulatory policies and procedures, conducting quarterly forensic compliance program testing, and drafting and filing various regulatory filings.
Key Responsibilities:
- Assist in monitoring and maintaining compliance programs for clients to ensure compliance with federal securities laws.
- Draft regulatory policies and procedures.
- Conduct quarterly forensic compliance program testing.
- 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.
About IQ-EQ:
IQ-EQ is a leading provider of fund services and corporate secretarial solutions to the alternative asset industry. We are committed to delivering exceptional client service and providing innovative solutions to meet the evolving needs of our clients.
Why Join Our Team:
We offer a dynamic and challenging work environment, opportunities for professional growth and development, and a competitive compensation and benefits package.
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