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Capital Formation Operations Associate

Foster City, CA

Who are we?

IEQ Capital is a Registered Investment Advisor (RIA) seeking to transform traditional wealth management. Our firm integrates intellectual and emotional intelligence to drive exceptional investment results while maintaining a values-oriented culture that fosters connection and collaboration with our clients. As an independent, employee-owned company, we adhere to the fiduciary standard, prioritizing our clients' best interests.

The Role

IEQ Capital's Investment Operations, Capital Formation team is looking for a detail-oriented and highly motivated Capital Formation Operations Associate to support the capital formation lifecycle for alternative investment opportunities across the platform. This role sits at the intersection of capital formation, investment operations, legal documentation, compliance coordination, and client-team enablement.

The associate will help ensure that new and existing investment opportunities are operationally ready for client engagement, subscription, and closing. The role requires hands-on coordination across internal stakeholders and external partners, including client teams, investment research, marketing, compliance, legal counsel, fund administrators, and General Partners. The ideal candidate brings prior exposure to private fund capital formation, investor relations, fundraising operations, subscription documentation, or alternative investment platform support.

Key Responsibilities

Capital Formation Readiness & Execution

  • Support the end-to-end capital formation process for alternative investment opportunities, from pre-launch readiness through subscription execution and close tracking.
  • Coordinate with investment, marketing, legal, compliance, and client-facing teams to ensure opportunities are positioned, documented, and ready for client engagement.
  • Track launch milestones, capital raise timelines, subscription deadlines, minimums, capacity constraints, closing schedules, and other key fundraising logistics.
  • Help translate investment opportunity details into clear operational requirements for internal stakeholders supporting client education, diligence, and subscription workflows.

Investment Vehicle Launch & Subscription Operations

  • Manage the operational setup of alternative investment opportunities, including feeder vehicle launches, direct subscription pathways, document workflows, and investor onboarding requirements.
  • Coordinate the preparation, review, distribution, and execution of subscription agreements, offering documents, investor questionnaires, side letters, and related fund documentation.
  • Utilize DocuSign and other workflow tools to create efficient, accurate, and scalable subscription processes.
  • Maintain accurate opportunity, launch, subscription, and close-status records in Salesforce or similar CRM / workflow systems; identify bottlenecks and escalate issues proactively.

Legal, Compliance & External Partner Coordination

  • Partner with internal and external legal teams to facilitate timely review and execution of fund documentation and investor materials.
  • Coordinate with compliance to ensure capital formation and subscription workflows follow applicable regulatory, policy, and approval requirements.
  • Support operational due diligence, background check coordination, document collection, and issue escalation as part of the opportunity launch process.
  • Serve as a day-to-day liaison with fund administrators, General Partners, counsel, and other external partners to resolve documentation, onboarding, and closing-related questions.

Cross-Team Collaboration & Training

  • Serve as a key point of contact for client teams and internal stakeholders on capital formation workflows, subscription logistics, deadlines, documentation requirements, and opportunity launch status.
  • Develop step-by-step guides, process maps, FAQs, and training materials that improve internal understanding of capital formation and investment onboarding processes.
  • Host internal training sessions to educate client-facing teams on new opportunities, subscription workflows, document requirements, and key process changes.
  • Coordinate with Research and Marketing teams to support accurate, compliant, and timely distribution of investment materials and launch communications.

Process Improvement & Project Management

  • Conduct post-launch and post-close reviews to identify inefficiencies, pain points, and opportunities to improve the capital formation experience for client teams and operational partners.
  • Lead or support operational improvement projects that enhance scalability, accuracy, transparency, and timeliness across the capital formation and investment onboarding lifecycle.
  • Develop dashboards, trackers, or reporting tools to improve visibility into launch readiness, subscription progress, capital raise status, and process bottlenecks.
  • Continuously refine the role and identify innovative ways to add value to Investment Operations, Investment Onboarding, and the broader investment platform.

Qualifications

Required Skills & Experience

  • 1-3 years of relevant experience in capital formation, investor relations, fundraising operations, private fund operations, alternative investments, investment operations, or fund onboarding.
  • Working knowledge of private fund subscription processes, investor documentation, capital raise timelines, and cross-functional launch coordination.
  • Strong organizational skills and attention to detail, with the ability to manage multiple opportunities, deadlines, stakeholders, and workstreams simultaneously.
  • Excellent communication and interpersonal skills, including the ability to coordinate effectively with client-facing teams, legal, compliance, operations, marketing, research, and external partners.

Preferred Skills & Experience

  • Prior experience at a private fund manager, placement agent, RIA, multi-family office, fund administrator, investor relations team, or alternative investment platform.
  • Knowledge of alternative investment structures, feeder vehicles, subscription agreements, offering memoranda, investor questionnaires, side letters, and closing mechanics.
  • Familiarity with compliance standards and approval workflows related to private funds, marketing materials, investor eligibility, and subscription documentation.
  • Experience working with General Partners, fund administrators, legal teams, compliance professionals, investment research teams, and client-facing distribution teams.
  • Strong analytical and problem-solving abilities for diagnosing process gaps, improving workflow design, and building scalable operating models.

Compensation

The total compensation range for this role, inclusive of base salary and bonus, is $90,000 - $115,000, depending on skills and experience.

 

 

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IEQ CAPITAL, LLC
CALIFORNIA APPLICANT PRIVACY NOTICE – CALIFORNIA PRIVACY RIGHTS
AND DISCLOSURES
Last Updated: January 1, 2023
This California Job Applicant Privacy Notice (“Privacy Notice” or “Notice”) explains how IEQ
Capital, LLC (“company,” “we,” or “us,” or “our”) collects personal information from job
applicants who are California residents, to the extent the personal information is collected and
used by us solely within the context of their status as a job applicant. This Notice supplements
other privacy notices you may receive in connection with your relationship with us.
Personal Information We Collect and Have Collected in the Past 12 Months – Sources and
Categories
In the 12 months preceding the date of this Notice, we collected your personal information when
you applied for a position with us or otherwise voluntarily provided information to us. We will
continue to collect personal information from the same sources.
The categories of personal information we collected from these sources during the 12 months
preceding the date of this Notice, and will continue to collect, includes the following:
 Personal identifiers: name, address, email address, government-issued identification
documents
 Protected class information: race, ethnicity, gender, gender identification, veteran status
 Professional information: records of your work and education history (including internal
and external work history and references)
 Educational information: Education history; trade school records; certificates obtained
Purposes for Collection of Personal Information
We use your personal information to evaluate your application for employment, to conduct job
interviews, and to comply with applicable law.
Disclosure of Personal Information For Business Purposes in the Past 12 Months
The following chart describes the categories of personal information that we disclosed to third
parties for a business purpose in the 12 months prior to the date of this Notice:
Categories of Consumers’
Personal Information
Categories of Third Parties With Which We Shared
Personal Information for a Business Purpose
Personal identifiers: name, address,
email address, government-issued
identification documents
Service providers that assist in providing human
resource functions; facilitate scheduling and email
communications; provide security services and cloudbased
data storage, assist with other IT-related
functions; provide legal services
Protected class information: race,
ethnicity, gender, gender
identification, veteran status
Service providers that assist in providing human
resource functions; provide legal services
Professional information: records of
your work and education history
(including internal and external
work history and references)
Service providers assist with recruitment activities and
HR services
Educational information: Education
history; trade school records;
certificates obtained
Service providers assist with recruitment activities and
HR services
Additional Information About How We May Disclose Personal Information
We may also share your personal information as required or permitted by law to comply with a
subpoena or similar legal process or government request, or when we believe in good faith that
disclosure is legally required or otherwise necessary to protect our rights and property or the
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detect and protect against fraud or data security vulnerabilities. And we may share or transfer
your personal information to a third party in the event of an actual or potential sale, merger,
reorganization of our entity or other restructuring.
No Sale of Personal Information
We do not sell the personal information of job applicants.
Rights Related to Personal Information Held by Us
Your Right To Access Information We Collect and Share About You
We are committed to ensuring that you know what personal information we collect. To that end,
you can ask us for the following information from us with respect to the personal information
that we’ve collected about you in the 12 months prior to our receipt of your request:
 Specific pieces of personal information we have collected about you;
 Categories of personal information we have collected about you;
 Categories of sources from which such personal information was collected;
 Categories of personal information that the business sold or disclosed for a business
purpose about you;
 Categories of third parties to whom the personal information was sold or disclosed for a
business purpose; and
 The business or commercial purpose for collecting your personal information.
Your Right To Request Deletion of Personal Information We Have Collected From You
Upon your request, we will delete the personal information we have collected from you, except
for situations where the CCPA authorizes us to retain specific information, including when it is
necessary for us to perform human resource functions; for other internal uses; to maintain the
functionality or security of our systems; or to comply with or exercise rights provided by the
law.
Our Commitment to Honoring Your Rights
If you exercise any of the rights explained in this Privacy Notice, we will continue to treat you
fairly.
Exercising Your Rights and How We Will Respond
To exercise your access or deletion rights, or to ask a question about your data subject rights,
contact us at compliance@IEQcapital.com or (650) 581-9807. For requests for access or
deletion, we will first acknowledge receipt of your request within 10 business days of receipt of
your request. We will then provide a substantive response to your request as soon as we can,
generally within 45 days from when we receive your request, although we may be allowed to
take longer to process your request under certain circumstances.
We usually act on requests and provide information free of charge, but we may charge a
reasonable fee to cover our administrative costs of providing the information in certain
situations.
In some cases, the law may allow us to refuse to act on certain requests. When this is the case,
we will endeavor to provide you with an explanation as to why.
Verification of Identity – Access or Deletion Requests
We will ask you for two pieces of personal information and attempt to match those to
information that we maintain about you.
If we are unable to verify your identity with the degree of certainty required, we will not be able
to respond to the request. We will notify you to explain the basis of the denial.
Authorized Agents
You may designate an agent to submit requests on your behalf. The agent can be a natural
person or an entity that is registered with the California Secretary of State.
If you would like to designate an agent to act on your behalf, you and the agent will need to
comply with our verification process. Specifically, if the agent submits requests to access, know
or delete your personal information, the agent will need to provide us with your signed
permission indicating the agent has been authorized to submit the request on your behalf. We
will also require that you verify your identity directly with us or confirm with us that you
provided the agent with permission to submit the request.
Please note that this subsection does not apply when an agent is authorized to act on your behalf
pursuant to a valid power of attorney. Any such requests will be processed in accordance with
California law pertaining to powers of attorney.
Personal Information of Minors
We do not advertise our positions to minors under 16 and do not knowingly collect or sell the
personal information of minors, including minors under 16 years of age.
How We Keep Your Personal Information Secure
We maintain reasonable security measures appropriate to the nature of the Personal Information
that we collect, use, retain, transfer or otherwise process. Those measures include
administrative, technical and physical safeguards designed to protect the personal information
you provide against accidental, unlawful or unauthorized destruction, loss, alteration, access,
disclosure or use. However, data security incidents and breaches can occur due to a variety of
factors that cannot reasonably be prevented; therefore, our safeguards may not always be
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Changes to This Notice
We will review and update this Notice as required to keep current with rules and regulations,
new technologies and security standards. We will post those changes on the website or update
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To make accessibility-related requests or report barriers, please contact us at
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Contact Us
If there are any questions regarding this Privacy Notice or to request a copy of this Privacy
Notice in another format you may contact us at compliance@IEQcapital.com or (650) 581-9807.

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