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Compliance Consulting - Principal Consultant

IQ EQ Administration Services (UK) Ltd
London, United Kingdom
Closing date
Mar 3, 2024

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

Responsibilities (how we will measure success)

The Principal Consultant will successfully motivate and lead, be responsible for the development of client relationships and the development and people management of junior colleagues.

The Principal Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting and reviewing policy and procedure reviews, drafting and overseeing the preparation of reports and manuals to reinforce regulatory requirements, and providing compliance advice to client firms.

The individual in this position is also required to possess a level of business acumen to identify and share opportunities for service growth and business development. The opportunities identified should not only include the upselling of compliance consultancy services by the UK team. They should also cover cross-selling opportunities arising from our pan-regional/global compliance consulting services reach

They will oversee a portfolio of Firms providing ongoing compliance support and undertake CRM meetings and addressing client feedback and ensure market leading support is provided to clients throughout the client relationship.

A team-oriented individual, looking to further their career in a fast-growing business line.

Tasks (what does the role do on a day-to-day basis)
  • Provide responsive and relevant regulatory advice and solutions;
  • Update clients on regulatory changes and how it impacts their business;
  • Draft manuals and other compliance documentation for clients;
  • Set up relevant policies, procedures and working documentation for clients;
  • Work with clients to devise bespoke risk-based monitoring programmes;
  • Carry out regular compliance monitoring visits onsite and calls with clients, and subsequently write up working papers and compliance monitoring reports;
  • Involvement in designing / running training courses;
  • Build, manage and develop client relationships;
  • Lead all aspects of compliance program, including overseeing and reviewing the work of junior project team members;
  • Act as internal and external subject matter expert on compliance matters relevant to clients;
  • Perform a broad scope of work during reviews of largest and most complex clients, and to guide, coordinate and consolidate the work of colleagues during these reviews;
  • Identify, manage and/or support projects and internal initiatives (e.g., draft articles for industry publications, participate in sales, conduct or oversee research);
  • Supervise, train, evaluate, oversee, and provide feedback to junior colleagues.
  • Monitor Team utilisation targets and spare individual team member capacity
  • Experience in working at comparable compliance consultancy.
  • Excellent technical knowledge of FCA regulations especially with regard to AIFMs and MiFiD Managers.
  • Comprehensive understanding of the financial services industry especially Private Equity / Hedge Fund Managers.
  • Proven track record within compliance gained within Compliance consultancy, Asset / Investment Management.
  • Ability to implement solutions to address the regulatory requirements of the client.
  • Strong knowledge of the FCA handbook.
  • Excellent oral and written communication skills.
Education / professional qualifications
  • Bachelor's degree / CISI Diploma
  • Accounting, Law, Finance - not essential if candidate possesses proven, relevant industry experience
  • Degree level educated with industry standard qualifications - not essential if candidate possesses proven, relevant industry experience.
Background experience
  • Technical
  • FCA Compliance
  • Computer / program knowledge
  • Microsoft/Word/Excel/PowerPoint
  • Company, product and market knowledge
  • PE/Hedge Fund industry
Additional information

At IQ EQ Group 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 part of 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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