Compliance Advisory Associate - London, United Kingdom - IQ-EQ

IQ-EQ

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

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.

Job Description:

Responsibilities:

The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives ("ARs") and our directly regulated businesses.

This may be associated with regular tasks such as reviewing client communications, or with providing advice on regulatory topics and business activities.

Tasks

Carrying out ongoing and adhoc tasks as directed, in particular around client communications, regulatory horizon scanning or compliance reviews
Assisting with the implementation of regulatory regimes and any changes in policies or processes
Developing deep relationships with the portfolio of appointed representatives and clients and meeting their needs; escalating issues and identifying offboarding risks where appropriate
Being responsible for analysing technical issues and providing recommendations. Training and guiding colleagues in relation to those technical issues
Maintaining our firms' regulatory registrations with applicable regulators, including the SEC and NFA (US regulators)
Collaborating with colleagues from across IQ-EQ RegCom and the wider IQ-EQ group
Assisting with the delivery of the business plan for the Advisory team and contributing to meeting team objectives including through the preparation and delivery of training materials
Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
Taking responsibility for own progression including learning & development objectives
Following the set policies and procedures around managing conduct risk, client communications and product governance
Adhering to all company and IQ-EQ Group policies and procedures

Key competencies

Cando mentality and client focus
Awareness of risk management and compliance oversight over business activities
Understanding of a broad range of compliance and regulatory topics
Teamwork
Relationship building with internal and external stakeholders
Project management

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:

Attention to detail
Strong and clear communication verbal and written
Focus on quality
Organisation
Proactivity
Resilience
Time management
Willingness to learn

Qualifications:

Required experience

Ideally educated to degree level
3 years broad based experience in a compliance role in a financial services firm, ideally a fund or asset manager
Good understanding of FCA regulatory requirements on investment businesses
Able to interpret complex regulatory standards and turn them into policies, processes or procedures that can be implemented in the business
Familiarity with the client communications and financial promotions regime would be a benefit
Used to working in a client facing role with focus on quality and hitting deadlines
Good writing style; excellent standard of English
Good project management skills understanding a brief, planning, delivery to agreed deadlines, issue management
Used to working within a team environment with a shared commitment to reaching goals

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.