Job Description
IQ-EQ is a leading Investor Services group providing comprehensive administration and compliance services for the investment sector. The Associate role focuses on delivering regulatory compliance support to investment adviser clients, ensuring adherence to securities laws and enhancing compliance programs through collaboration with industry experts. Responsibilities You'll monitor and maintain client compliance programs to ensure adherence to federal securities laws, including the Investment Advisers Act of 1940 You'll draft regulatory policies, procedures, and filings while conducting initial reviews of marketing materials You'll analyze clients’ trading practices and personal securities transactions to identify potential compliance issues You'll investigate compliance violations, document findings, and ensure corrective actions align with client policies You'll support regulatory exams and perform quarterly forensic testing and employee training compliance reviews Skills You hold a bachelor's degree You bring strong analytical, technical, and software skills, especially in Excel and Word You communicate clearly and effectively, both in writing and speech, with a sharp eye for detail You demonstrate sound judgment, discretion, and problem-solving abilities in high-stakes client matters You thrive in fast-paced environments, managing multiple priorities independently while staying flexible to client needs You build and maintain strong working relationships with colleagues and clients through professionalism and collaboration Benefits Generous paid time off, including 4 weeks of PTO that increases over time Sick time and paid holidays 401(k) plan with a company match (subject to eligibility) Medical, dental, vision, mental health support and additional ancillary insurance plans Paid parental leave Hybrid work schedule Company Overview IQ-EQ is a multi-jurisdictional provider of investor and corporate services in Europe and beyond. It was founded in 1896, and is headquartered in Luxembourg, Luxembourg, LUX, with a workforce of 5001-10000 employees. Its website is