Compliance Consultant

Job Description

The Compliance Consultant will work on a wide range of consulting clients with a particular focus on providing advice around prudential regulatory matters including MiFIDPRU reporting and preparation of ICARAs. Our client base of c300 clients is broad including sell-side and buy-side so familiarity with the broad range of business models would be an advantage.

Our consulting team is growing rapidly and we expect work connected to the implementation of IFPR and the associated ongoing requirements to be a major driver of further growth within the team.

Tasks

• Provided advice on prudential compliance matters
• Prepare ICARA documents on behalf of clients
• Prepare regular reporting to be submitted to the regulator
• Support the preparation of FCA applications through provision of financial forecasts and other plans
• The role holder may also get involved in providing general compliance consulting services to our portfolio of c300 clients.

Key competencies for position and level

• Excel (advanced)
• Familiarity with the prudential requirements for FCA authorised firms including relevant sourcebooks
• Research and analysis
• Time management, meeting deadlines
• Attention to detail
• Strong communication skills, written and verbal

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

• 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
• An accounting background would be useful
• Excellent working knowledge of FCA regulations
• Excellent communication skills, keen and enthusiastic approach to client support.
• Education / professional qualifications - Bachelors degree / CISI Diploma preferred
• Technical - FCA Regulatory Compliance,
• Computer / program knowledge - Word/ Excel/ PowerPoint
• Company, product and market knowledge - Financial services

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.