Compliance Monitoring Associate

Company Description

ABOUT IQ-EQ

We’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 Description

N.B. initially this is a 12-month fixed term contract, covering maternity leave. 

The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives (“ARs”) and our directly regulated businesses. This may be associated with regular tasks such as reviewing client communications, or with providing advice on regulatory topics and business activities.

Tasks 

• Carrying out ongoing and ad-hoc tasks as directed, in particular around client communications and compliance reviews 
• Assisting with the implementation of regulatory regimes and any changes in policies or processes 
• Developing deep relationships with the portfolio of appointed representatives and clients and meeting their needs; escalating issues and identifying offboarding risks where appropriate
• Working with minimal guidance and ensuring work produced is subject to the appropriate QA review 
• Being responsible for analysing technical issues and providing recommendations. Training and guiding colleagues in relation to those technical issues
• Collaborating with colleagues from across IQ-EQ RegCom and the wider IQ-EQ group 
• Assisting with the delivery of the business plan for the Advisory team and contributing to meeting team objectives 
• Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered 
• Taking responsibility for own progression including learning & development objectives 
• Following the set policies and procedures around managing conduct risk, client communications and product governance 
• Adhering to all company and IQ-EQ Group policies and procedures 

Key competencies 

• Can-do mentality and client focus 
• Awareness of risk management and compliance oversight over business activities 
• Understanding of a broad range of compliance and regulatory topics 
• Teamwork 
• Relationship building with internal and external stakeholders 
• Project management

Key behaviours we expect to see 

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following: 

• Attention to detail 
• Strong and clear communication – verbal and written 
• Focus on quality 
• Organisation 
• Proactivity 
• Resilience 
• Time management 
• Willingness to learn 

Qualifications

Required experience

• Ideally educated to degree level 
• 3 years broad based experience in a compliance role in a financial services firm, ideally a fund or asset manager 
• Good understanding of FCA regulatory requirements on investment businesses
• Able to interpret complex regulatory standards and turn them into policies, processes or procedures that can be implemented in the business 
• Familiarity with the client communications and financial promotions regime would be a benefit 
• Used to working in a client facing role with focus on quality and hitting deadlines 
• Good writing style; excellent standard of English 
• Good project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management
• Used to working within a team environment with a shared commitment to reaching goals 

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, 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 5,500+ employees - from 94 nationalities, speaking 41 languages 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 long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.