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- Leading ongoing and ad hoc tasks as required, in particular around signing off financial promotions and compliance reviews.
- Developing deep relationships with the portfolio of clients and meeting their needs; identifying client risk.
- Resolving issues raised by other members of the team and providing technical QA on work products of others.
- Gathering a deep understanding of new AR mandates, identifying the regulatory permissions required to execute the desired business model/ strategy and providing challenge with regards to how such activities are to be undertaken.
- Being responsible for identified technical areas relating to AR activities or implementing changes in regulation as directed.
- Collaborating with colleagues from across RegCom and the wider IQ-EQ group, contributing to cross-firm initiatives.
- Assisting with devising and delivering the business plan for the Client Advisory team and contributing to meeting team objectives.
- Management of business lines or other members of the Client Advisory team.
- Enhancing own understanding of regulatory landscape and offers learning opportunities for others.
- Following the set policies and procedures around managing conduct risk, financial promotions and product governance.
- Extensive experience in a compliance role within a financial services firm, ideally a fund or asset manager.
- Deep 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.
- Detailed knowledge of the client communications and financial promotions regime.
- Used to working in a client facing role with focus on quality and hitting deadlines.
- Strong project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management.
- Experience of managing teams would be an advantage.
Client Advisory Manager - London, United Kingdom - IQ-EQ
Description
Job DescriptionResponsibilities (how we will measure success)
The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives ("ARs"), and to provide leadership and management within the team. In particular:
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.