This job has expired

You will need to login before you can apply for a job.

Senior Compliance Consultant

Employer
IQ EQ Administration Services (UK) Ltd
Location
London, United Kingdom
Salary
Competitive
Closing date
Jan 11, 2024

View more

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

Responsibilities (how we will measure success)

The Senior Compliance Consultant will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical assistance, aiming to ensure positive client feedback.

Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:
  • Ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and
  • Supporting a team of consultants.
Tasks (what does the role do on a day-to-day basis)
  • Responsive regulatory advice and solutions;
  • Supporting varied engagements such as: UK SDR implementation, AML and Market Abuse risk assessment and audit projects, Consumer Duty support, MIFIDPRU regulatory reporting and supporting Internal Capital and Risk Assessments (ICARA);
  • Updating clients on regulatory changes and how it impacts their business;
  • Drafting and remediating relevant policies, procedures and working documentation for clients;
  • Working with consultants and clients to devise their risk-based compliance monitoring programmes;
  • Supporting regular compliance monitoring or review visits onsite with clients, and subsequently writing up working papers and reports;
  • Involvement in designing / running training courses;
  • Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
  • Taking part in reviews of RegData filing and financial reporting;
  • Building / developing client relationships.
Key competencies for position and level (see Group Competency model)
  • Developing process;
  • Time Management;
  • Attention to detail;
  • Strong communication skills, written and verbal;
  • Enthusiastic and team focused approach.
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:
  • Professionalism;
  • Integrity;
  • Trust - ability to be empowered and be relatively autonomous in day-to-day tasks;
  • Focus on growth and career development.
Qualifications

Required Experience
  • Bachelors degree / CISI Diploma preferred though not essential.
  • 1 to 2 years' minimum experience working within a compliance consulting role, at comparable compliance consultancy, or in a compliance role in a regulated investment firm (e.g. Asset Management, Corporate Finance, Portfolio Management) or with a regulatory lawyer; or,
  • Working knowledge of Money Laundering and Market Abuse regulations, FCA regulations in the context of AIFM and MiFID Managers.
  • Knowledge of ESG and Consumer Duty preferable but not essential
  • Experience of delivering compliance monitoring and advisory work, gained in house or within a consultancy environment would be advantageous;
  • Experience of financial reporting or FCA prudential requirement reviews would be advantageous;
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.

Sign in to create job alerts

Sign in or create an account to start creating job alerts and receive personalised job recommendations straight to your inbox.

Create alert