Associate - Compliance (Remote Optional)

Washington, DC
Sep 26, 2022
Sep 29, 2022
IT, QA Engineer
Full Time
A$ A' "A' ?Company DescriptionIQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments - portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.Job DescriptionYou will be facilitating our service offering by assisting in the performance of, and being responsible for, among other thingsAssisting in the monitoring and maintaining of compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amendedConducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulationsAssisting with managing clients' registrations with applicable regulators, including the SEC and CFTCAssisting with preparing and maintaining Form ADVAssisting in drafting regulatory policies and proceduresAnalyzing clients' trading practices, including evaluating personal securities transactionsEnsuring all compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures Analyzing the regulatory environment for updates that might apply to clientsAssisting in conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients' written policies and proceduresAssisting in drafting and filing various regulatory forms and schedules for clients Assisting with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boardsQualificationsBachelors degreeAnalytical, technical, and technology skills with proficiency in basic office software, including Excel and WordMust be able to demonstrate strong organizational and problem-solving skills with attention to detailMust be able to demonstrate strong oral and written communication skillsDedicated to upholding first-class standards and exceptional customer service focusStrong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for IQ-EQ and/or IQ-EQ clientsDependable, flexible and adaptable to changing client needs and initiatives;Ability to work well in a fast-paced environmentMust be able to work independently, multi-task and prioritize effectivelyHighly motivated and goal orientedAbility to establish and maintain effective working relationships with employees and clientsAbility to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirementsAdditional InformationAll your information will be kept confidential according to EEO guidelines.