Senior Associate - Regulatory Compliance (Private Funds)

IQ-EQ

  • San Francisco, CA
  • $65,000-85,000 per year
  • Permanent
  • Full-time
  • 13 days ago
Company DescriptionWe're a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world's top-15 private equity firms.Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.We're driven by our Group purpose, to power people and possibilities.Job DescriptionThis position demands a high level of precision, independent problem-solving, and critical thinking, with minimal delegation and a strong emphasis on accountability and follow-through. The role involves developing and testing compliance programs for clients in the alternative and traditional investment sectors, including private equity, hedge funds, and venture capital, while also supporting regulatory exams and outsourced CCO functions. Success in this role requires professionalism, sound decision-making, and adaptability to client-driven schedules and deadlines.What you'll do
  • You will advise clients on compliance with key U.S. securities laws, including the Securities Act, Exchange Act, and Advisers Act
  • You'll assist clients during regulatory examinations by agencies like the SEC, NFA, and state securities boards
  • You will review marketing materials to ensure they meet regulatory standards and help clients perform ongoing compliance functions such as monitoring trading and communications
  • You'll be responsible for preparing and filing required U.S. regulatory documents and creating training programs on relevant regulations
  • You will design testing systems, draft policies and procedures, mentor junior team members, and take on special compliance-related projects as needed
What we offer
  • IQ-EQ offers a comprehensive benefits package designed to support employees' well-being and work-life balance
  • Employees receive generous paid time off, including 20 days of PTO and 7 sick days annually, with PTO increasing over time. The company also observes 10 paid holidays each year, and 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
  • Additional benefits include paid parental leave and a hybrid work schedule, promoting both personal and professional fulfillment
  • The salary for this position will be dependent on experience and location ($65,000 - $85,000)
Qualifications
  • You have a Bachelor's degree and two plus years of relevant compliance experience
  • You need working knowledge of key regulations like the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA or NFA/CFTC rules
  • You must be proficient in MS Office tools like Excel and Word, and able to build strong relationships with both clients and colleagues
  • You're expected to be dependable, flexible, and responsive to shifting client needs and priorities
  • You must demonstrate strong organizational, analytical, and communication skills, with the ability to work independently, multitask, and make sound judgments in a fast-paced environment
Additional InformationOur commitment to you and the environmentSustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders - including our employees, clients, and local communities - while also reducing our impact on our natural environment.There is always more we can, and should do, to improve - whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We're committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees' careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.We're committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We're emotionally invested in our clients right from the beginning.#LI-HYBRID

IQ-EQ