Compliance Consultant

8 months ago

London, United Kingdom IQ-EQ Full time

**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.

The Compliance Consultant will successfully manage and develop client relationships, deliver client project work focused on financial crime compliance 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 financial crime topics including AML, market abuse, ABC and others
- 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**
- 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 relevant regulations in the context of financial crime
- Proven track record of delivering client monitoring and advisory work, gained in house or within a consultancy environment
- Ability to implement solutions to address the regulatory requirements of the client
- Excellent communication skills, keen and enthusiastic approach to client support

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.

  • Compliance Manager

    4 weeks ago

    London, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Compliance Manager

    4 weeks ago

    London,, UK, United Kingdom Compliance Professionals Full time

    (12 month FTC role) THE COMPANY: Our client is an independent boutique asset management business based in the UK. Specialising in providing differentiated strategies to investors.THE RESPONSIBILITIES:Maintain a thorough knowledge of all legislative, technical (product) and regulatory changes and take steps to ensure that systems and controls are put in place...

  • Regulatory Compliance Specialist

    4 weeks ago

    London, Greater London, United Kingdom Compliance Professionals Full time

    About the RoleWe are seeking a skilled Regulatory Compliance Specialist to join our team at Compliance Professionals.Job SummaryThe ideal candidate will have at least 5 years' experience in Compliance or Operations within financial services, preferably fund management and/or discretionary management environment. Strong appreciation of Compliance and...

  • Senior Consultant

    2 months ago

    London, United Kingdom Sovos Compliance Full time

    Build your future with Sovos.If you are looking for an opportunity where career-minded professionals can achieve success while bringing their best and whole selves to work each day, Sovos may be the company you have been looking for. Employees at Sovos operate on the leading edge of digital technology while working to improve lives and the communities in...

  • Head of Consultancy

    6 months ago

    London, United Kingdom William Martin Compliance Full time

    **Head of Consultancy** **William Martin** **Location**:Home-based with travel to meet with colleagues and clients (including regular meetings in Bromsgrove, Cambridgeshire and London). 60% of the role may involve travel. **Salary**: £50,000 to £60,000 per annum **Job Type**:Full time/ Permanent **About Us** William Martin, part of the wider Marlowe...

  • Compliance Expert

    3 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    A compliance expert with PWM/advisor/buy side experience is sought to join a growing UK and US Compliance Consulting Firm.Job DescriptionThe successful candidate will work autonomously as part of a collegiate and technically competent team, reporting to the Managing Director. Key responsibilities include:Supervising junior members of the AR Platform...

  • Senior Compliance Monitoring Associate

    4 weeks ago

    London, Greater London, United Kingdom Compliance Recruitment Solutions Full time

    Senior Compliance Monitoring AssociateWe are seeking a highly skilled Senior Compliance Monitoring Associate to join our collegiate and dynamic compliance Monitoring team. Reporting to the Senior Compliance Assurance Manager, duties will include:Assist in the delivery of the annual compliance monitoring programme by undertaking agreed monitoring activities...

  • Compliance Consultant

    2 weeks ago

    London, Greater London, United Kingdom Cosegic Full time

    Job Overview">Cosegic is a leading compliance consultancy providing assistance with FCA Authorisation, ongoing compliance consulting, prudential services, and regulatory projects. We work together in industry specialist teams, servicing over 800 clients from various sectors.This full-time, permanent role as Associate Consultant, Prudential Services involves...

  • Compliance Consultant

    1 week ago

    London, Greater London, United Kingdom Northern Trust Corporation Full time

    Job Summary:We are seeking a Senior Compliance Consultant to join our team in London. The ideal candidate will have knowledge of FCA client money rules, prior experience of fund structures including UCITS, ETFs, AIFs, and exposure to cross-border regulatory frameworks and rules.The role involves providing technical research and consultation on regulatory...

  • Compliance Consultancy

    6 days ago

    London, United Kingdom Austin Andrew Ltd Full time

    Compliance SpecialistWe are looking to hire a compliance expert to join a specialist compliance consultancy Key Responsibilities• Primary compliance resource for a number of platform clients• Leading monitoring reviews• Implementation of policies as applicable• Assisting with background screening checks as necessary and liaising with the FCA•...

  • Compliance Consultancy

    6 days ago

    London,, UK, United Kingdom Austin Andrew Ltd Full time

    Compliance SpecialistWe are looking to hire a compliance expert to join a specialist compliance consultancy Key Responsibilities• Primary compliance resource for a number of platform clients• Leading monitoring reviews• Implementation of policies as applicable• Assisting with background screening checks as necessary and liaising with the FCA•...

  • Compliance Consultant

    2 months ago

    London, United Kingdom IQ-EQ Full time

    Job DescriptionThe Compliance Consultant will successfully support, manage and develop client relationships, deliver client project work and take part in team development activities. The Compliance Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting policy and procedure reviews, drafting the...

  • Compliance Consultant

    6 months ago

    London, United Kingdom IQ-EQ Full time

    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** The Compliance Consultant will work on conducting operational due...

  • Clinical Consultant

    4 weeks ago

    Greater London, United Kingdom Team Care Compliance Consultants Full time

    Company DescriptionTeam Care Compliance specialises in getting care businesses get off the ground and keeping them compliant with CQC & Ofsted regulations.Our team of experienced consultants provides comprehensive support for new and existing care services. Whether you’re setting up a new care home, managing a children’s residential home, care agency,...

  • Clinical Consultant

    4 weeks ago

    Greater London, United Kingdom Team Care Compliance Consultants Full time

    Company DescriptionTeam Care Compliance specialises in getting care businesses get off the ground and keeping them compliant with CQC & Ofsted regulations.Our team of experienced consultants provides comprehensive support for new and existing care services. Whether you’re setting up a new care home, managing a children’s residential home, care agency,...

  • Clinical Consultant

    4 weeks ago

    Greater London, United Kingdom Team Care Compliance Consultants Full time

    Company DescriptionTeam Care Compliance specialises in getting care businesses get off the ground and keeping them compliant with CQC & Ofsted regulations.Our team of experienced consultants provides comprehensive support for new and existing care services. Whether you’re setting up a new care home, managing a children’s residential home, care agency,...

  • Compliance Consultant

    17 hours ago

    London, United Kingdom IQ-EQ Full time

    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 5,500+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13...

  • Compliance Consultancy

    6 days ago

    London Area, United Kingdom Austin Andrew Ltd Full time

    Compliance SpecialistWe are looking to hire a compliance expert to join a specialist compliance consultancy Key Responsibilities• Primary compliance resource for a number of platform clients• Leading monitoring reviews• Implementation of policies as applicable• Assisting with background screening checks as necessary and liaising with the FCA•...

  • Compliance Consulting

    6 months ago

    London, United Kingdom IQ-EQ Full time

    **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. **Job Description** Responsibilities (how we will measure success)** The Principal Consultant will...

  • Compliance Consulting

    6 months ago

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

    **Responsibilities (how we will measure success)** The Principal Consultant will successfully motivate and lead, be responsible for the development of client relationships and the development and people management of junior colleagues. The Principal Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting...