Senior Compliance Consultant - London, United Kingdom - IQ EQ Administration Services (UK) Ltd

IQ EQ Administration Services (UK) Ltd

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

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.

Tasks (what does the role do on a day-to-day basis)

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 riskbased 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.

Key competencies for position and level (see Group Competency model)

Developing process;
Time Management;
Attention to detail;
Strong communication skills, written and verbal;
Enthusiastic and team focused approach.

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 daytoday tasks;
Focus on growth and career development.

Qualifications

Required Experience

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;

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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