Compliance Consulting Associate
Job Description
Job title: Compliance Consulting Associate
Company: IQ-EQ
Job 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 (how we will measure success)
The Compliance Consultant will successfully manage and develop client relationships, deliver client project work (client secondments, AML investor refreshes, regulatory change projects e.g. IFPR, FCA mock visits/Health check reviews) and take part in team development activities.
The Compliance Consultant will be tasked with effectively delivering compliance monitoring program assessments, drafting policy and procedure reviews, drafting the preparation of reports and manuals to reinforce regulatory requirements, and providing compliance advice to client firms.
They will support and be the first point of contact for a portfolio of Firms providing ongoing compliance support. The Compliance Consultant will address client feedback and ensure market leading support is provided to clients throughout.
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)
- Responsive regulatory advice and solutions
- Delivering consulting engagements on a variety of topics including AML, health checks, policies and procedures, FCA applications, ESG to name just a few
- Updating clients on regulatory changes and how it impacts their business
- Setting up relevant policies, procedures and working documentation for clients
- Working with clients to devise their risk-based monitoring programmes or thematic risk assessments
- Carrying out regular compliance monitoring review visits onsite with clients, and subsequently writing up working papers and reports
- Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications
- Building / developing client relationships.
Qualifications
Required Experience
- Experience working within Compliance or AML/KYC support function at comparable compliance consultants who are main competitors (e.g. ACA Compliance; Bovill and Cosegic) or in professional services/audit firms (Big Four, BDO, Grant Thornton, etc)
- Excellent working knowledge of FCA regulations in the context of AIFM and MiFiD Managers (an understanding of Private Equity would be helpful but not essential)
- Proven track record of delivering client monitoring and advisory work, gained in house or within an consultancy environment.
- Ability to implement solutions to address the regulatory requirements of the client.
- Excellent communication skills, keen and enthusiastic approach to client support
Education / professional qualifications
- Bachelors degree / CISI Diploma preferred
Technical
- FCA Regulatory Compliance, Money Laundering Regulations
Computer / program knowledge
- Microsoft / Word/ Excel/ PowerPoint
Company, product and market knowledge
- Asset management, sell side, banking or other financial services
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.
Expected salary:
Location: London
