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.
(what does the role do on a day-to-day basis)
Key competencies for position and level
- 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.
(see Group Competency model)
Key behaviours we expect to see
- Developing process;
- Time Management;
- Attention to detail;
- Strong communication skills, written and verbal;
- Enthusiastic and team focused approach.
Qualifications Required Experience
- In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Trust - ability to be empowered and be relatively autonomous in day-to-day tasks;
- Focus on growth and career development.
- 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;
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.