Compliance Advisory Associate

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top 15 private equity firms.

Job Description

Our collaborative Compliance Advisory team is seeking an Associate to join our London office.

In this role you will 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.  

Day to day

• Carrying out ongoing and ad-hoc tasks as directed, in particular around client communications and 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  
• Working with minimal guidance and ensuring work produced is subject to the appropriate QA review 
• Being responsible for analysing technical issues and providing recommendations. Training and guiding colleagues in relation to those technical issues  
• 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 
• 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.

Qualifications

• Previous experience in a compliance role in a financial services firm
• 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 (desirable)
• 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

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our employees to each achieve their potential. Through IQ-EQ Launchpad we support female managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.