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Senior Compliance Consultant

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

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

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.

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