Compliance Consultant

3 weeks ago

London, United Kingdom IQ EQ Administration Services (UK) Ltd Full time
Job Description

The Compliance Consultant will be able to independently manage and develop key client relationships, lead client project work (client secondments, AML investor refreshes, regulatory change projects e.g. IFPR, FCA mock visits/Health check reviews) and take part in the development and oversight of junior colleagues.

As a Compliance Consultant you will be tasked with effectively delivering compliance monitoring programme assessments, drafting, and reviewing policy and procedure reviews, drafting and overseeing 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 Senior 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
  • Provide responsive and relevant regulatory advice and solutions.
  • Private Equity focused AML on transactions.
  • Update clients on regulatory changes and how it impacts their business.
  • Draft manuals and other compliance documentation for clients.
  • Set up relevant policies, procedures and working documentation for clients.
  • Work with clients to devise bespoke risk-based monitoring programmes.
  • Carry out regular compliance monitoring visits onsite with clients, and subsequently write up working papers and compliance monitoring reports.
  • Involvement in designing / running training courses.
  • Build, manage and develop client relationships.
  • Deliver all aspects of compliance programme, including overseeing and reviewing the work of project team members.
  • Actively contribute to building technical knowledge and compliance infrastructure on compliance matters relevant to clients
  • Perform a broad scope of work during reviews of largest and most complex clients.
  • Identify, manage and/or support projects and internal initiatives (e.g., draft articles for industry publications, participate in sales, conduct or oversee research).
  • Support, and provide feedback to junior colleagues.
Key competencies for position and level
  • Drafting documentation
  • Regulatory analysis
  • Time management
  • Attention to detail
  • Take part in mentoring
  • Strong communication skills, written and verbal
Qualifications
  • Relevant and comparable financial services experience, preferably within the compliance consulting sector.
  • Practical understanding of the financial services industry especially Private Equity Managers preferably gained through a period working at a Private Equity Firm.
  • Technical knowledge of FCA regulations especially with regard to AIFMs and MIFID, PRU investment firms.
  • Proven track record within compliance gained within Compliance consultancy, Asset / Investment Management.
  • Ability to implement solutions to address the regulatory requirements of the client.
  • Knowledge of the FCA handbook.
  • Excellent oral and written communication skills.
Background experience
  • FCA Regulatory Compliance, Money Laundering Regulations.
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.

Company description

IQ EQ is part of 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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