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Compliance Monitoring Analyst (Sapia)

IQ EQ Administration Services (UK) Ltd
Newcastle upon Tyne, United Kingdom
Closing date
Jan 4, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job Description

The main purpose of the role is to support the managers and associates with monitoring the activities of Appointed Representatives (ARs") and AIFMs such that risks can be assessed and managed. Taking personal responsibility for monitoring ARs where appropriate. In particular:
  • Support with carrying out ongoing monitoring as per the CMP. Includes meeting preparation, writing notes and follow up actions and responding to AR queries
  • Building relationships with ARs and understanding their business model so we can take a risk based approach
  • Producing management information (MI) in accordance with the Risk Management Framework
  • Collaborating with colleagues from across RegCom and the wider IQ-EQ group
  • Assisting with the delivery of the business plan for the Monitoring 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 and appropriate AR oversight
  • Adhering to all company and IQ-EQ Group policies and procedures
Key competencies
  • Can-do mentality and client focus
  • Risk management mindset
  • Well organised, good documentation skills, persistent
  • Teamwork
  • Relationship building with internal and external stakeholders
  • Integrity and honesty
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
  • Curiosity
  • Organisation
  • Proactivity
  • Resilience
  • Time management
  • Willingness to learn
  • Relevant experience undertaking compliance monitoring within financial services, or a similar role (i.e Internal Audit, Control assessments).
  • Bachelor's degree in accounting, finance, law or related field, or relevant professional industry qualifications.
  • Experience within the financial services industry, preferably with a knowledge of Asset Management including alternative investment funds, and wealth management.
  • Strong time management and organizational abilities.
Additional information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Company description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

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