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Regulatory Reporting and Due Diligence Analyst

IQ EQ Administration Services (UK) Ltd
Newcastle upon Tyne, United Kingdom
Closing date
Mar 28, 2024

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

Office: London or Newcastle

Department: Due Diligence and Compliance Reporting

Reports to: Principal Consultant within Compliance Reporting and Due Diligence team

Responsibilities (how we will measure success)

The Due Diligence & Compliance Reporting Analyst will assist principal consultants with regulatory compliance reporting, vendor due diligence and operational due diligence reviews for our portfolio of clients, primarily in the asset management sector.

You will work directly with our clients to fulfil their reporting requirements in the United Kingdom and European Union. As a member of the due diligence team, you will conduct due diligence reviews to assess the adequacy of outsourced vendors and to assess fund manager's internal operations to help protect our investor clients from losses related to operational failures.

This is a small but growing team. We expect the regulatory reporting and due diligence reviews to be a major driver of growth within the team.

Tasks (what does the role do on a day-to-day basis)
  • Perform quarterly and ad-hoc compliance reporting;
  • Lead and oversee vendor due diligence (VDD) reviews as directed;
  • Assist and contribute to operational due diligence (ODD) as directed;
  • Utilise IQ-EQ's proprietary due diligence methodology to producing reports using our in-house tech platform;
  • Assist in ESG policy creation, data collection and ESG reporting work (as needed)
  • Conduct AML and know-our-customer reviews (as needed)
  • The role holder may also get involved in providing general compliance consulting services to our portfolio of c250 clients
  • 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 and/or private funds knowledge preferred
  • Strong proficiency in Microsoft Office, specifically Excel
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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