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Compliance Consultant

Employer
IQ EQ Administration Services (UK) Ltd
Location
Newcastle upon Tyne, United Kingdom
Salary
Competitive
Closing date
Dec 28, 2023

View more

Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
Job Description

Office: London or Newcastle

Department: Compliance Consulting - operational due diligence team

Reports to: Principal Consultant within Compliance Consulting team

Responsibilities (how we will measure success)

The Compliance Consultant will work on conducting operational due diligence reviews for our portfolio of clients, primarily in the asset management sector. The reviews are designed to assess a manager's internal operations to protect investors from losses relating to operational failures of frauds.

This is a small but growing team and we expect ODD reviews to be a major driver of growth within the team.

Tasks (what does the role do on a day-to-day basis)
  • Conduct ODD and vendor due diligence (VDD) reviews as directed
  • This involves following IQ-EQ's proprietary methodology and producing reports using our in-house tech platform
  • Strategies covered include equity, credit, fixed income, fund of fund, private equity and real estate
  • The role holder may also get involved in providing general compliance consulting services to our portfolio of c250 clients.
Key competencies for position and level
  • Following a methodology
  • Report writing
  • Research and analysis
  • Drawing appropriate conclusions
  • Time management
  • Attention to detail
  • Strong communication skills, written and verbal
Qualifications
  • Experience working within a comparable compliance consulting firm or in professional services/audit firms; or experience gained within the compliance department of an asset management firms
  • A legal background would be useful
  • Experiencing carrying out due diligence is preferable
  • Excellent working knowledge of FCA regulations
  • Excellent communication skills, keen and enthusiastic approach to client support.
  • Bachelors degree / CISI Diploma preferred
  • Asset management market knowledge preferred
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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