Compliance Consultant

3 months ago

Newcastle upon Tyne, 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**:
Office: London or Newcastle

Department: Compliance Consulting - operational due diligence team

Reports to: Principal Consultant within Compliance Consulting team

**Responsibilities (how we will measure success)**

The Compliance Consultant will work on conducting operational due diligence reviews for our portfolio of clients, primarily in the asset management sector. The reviews are designed to assess a manager’s internal operations to protect investors from losses relating to operational failures of frauds.

This is a small but growing team and we expect ODD reviews to be a major driver of growth within the team.

**Tasks (what does the role do on a day-to-day basis)**
- Conduct ODD and vendor due diligence (VDD) reviews as directed
- This involves following IQ-EQ’s proprietary methodology and producing reports using our in-house tech platform
- Strategies covered include equity, credit, fixed income, fund of fund, private equity and real estate
- The role holder may also get involved in providing general compliance consulting services to our portfolio of c250 clients.

**Key competencies for position and level**
- Following a methodology
- Report writing
- Research and analysis
- Drawing appropriate conclusions
- Time management
- Attention to detail
- Strong communication skills, written and verbal

**Qualifications**:

- Experience working within a comparable compliance consulting firm or in professional services/audit firms; or experience gained within the compliance department of an asset management firms
- A legal background would be useful
- Experiencing carrying out due diligence is preferable
- Excellent working knowledge of FCA regulations
- Excellent communication skills, keen and enthusiastic approach to client support.
- Bachelors degree / CISI Diploma preferred
- Asset management market knowledge preferred

Additional Information

At IQ-EQ 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 Consultant

    3 months ago

    Newcastle upon Tyne, United Kingdom IQ EQ Administration Services (UK) Ltd Full time

    Office: London or Newcastle Department: Compliance Consulting - operational due diligence team Reports to: Principal Consultant within Compliance Consulting team **Responsibilities (how we will measure success)** The Compliance Consultant will work on conducting operational due diligence reviews for our portfolio of clients, primarily in the asset...

  • Trainee Compliance Consultant

    2 months ago

    Newcastle upon Tyne, United Kingdom True Potential LLP Full time

    _**Who are we**:_ True Potential are a market leader providing wealth management advise in pensions and investments. With over 15+ years’ experience, we are an award-winning business working with 20% of the UK's Financial Advisors. We have created an inclusive and empowered culture where innovation, creativity, agility, and leadership are rewarded. By...

  • Compliance Consultant

    3 months ago

    Newcastle upon Tyne, United Kingdom Bravo Networks Full time

    ​Purpose of the Role This exciting remote based opportunity has arisen to join our Broker Network Risk & Compliance (R&C) Team. You will provide network members with compliance support through an annual programme of audit and health-check activities, the provision of guidance and support on key regulatory requirements. Nationwide travel will be required...

  • Compliance Consultant

    1 week ago

    Newcastle upon Tyne, United Kingdom Bravo Networks Full time

    ​Purpose of the Role This exciting remote based opportunity has arisen to join our Broker Network Risk & Compliance (R&C) Team.You will provide network members with compliance support through an annual programme of audit and health-check activities, the provision of guidance and support on key regulatory requirements.We are seeking someone based in the...

  • Compliance Consultant

    2 months ago

    Newcastle upon Tyne, United Kingdom NJR Recruitment Full time

    **COMPLIANCE CONSULTANT - FINANCIAL PLANNING / WEALTH MANAGEMENT** **£50,000 + BENEFITS + CAR ALLOWANCE + BONUSES** Our client is an AIM listed Service Provider to many of the UK's leading Financial Advisors. Providing compliance support for over 400 directly regulated firms, ranging from large UK wide advisory firms to smaller Investment, Mortgage and...

  • In-house Head of Regulatory Compliance

    3 months ago

    Newcastle upon Tyne, United Kingdom SaccoMann Full time

    Sacco Mann is once again working with a fantastic organisation which is responsible for delivering safe, reliable electricity for more than 8 million people across 3.9 million homes and businesses in the North East, Yorkshire and northern Lincolnshire. Reporting into the General Counsel, we are now seeking a UK qualified Solicitor to perform the role of Head...

  • In-house Head of Regulatory Compliance

    3 months ago

    Newcastle upon Tyne, United Kingdom SaccoMann Full time

    Sacco Mann is once again working with a fantastic organisation which is responsible for delivering safe, reliable electricity for more than 8 million people across 3.9 million homes and businesses in the North East, Yorkshire and northern Lincolnshire. Reporting into the General Counsel, we are now seeking a UK qualified Solicitor to perform the role of...

  • Compliance Consultant

    1 month ago

    Stratford-upon-Avon, United Kingdom NFU Mutual Full time

    18 Month Fixed Term ContractJoin an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023Build on your FCA knowledgeHybrid role with 80% homeworking and 20% in Stratford-upon-AvonAbout the roleWe have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy team...

  • Compliance Consultant

    4 weeks ago

    Stratford-Upon-Avon, United Kingdom NFU Mutual Remote Work Freelance Full time

    18 Month Fixed Term ContractJoin an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023Build on your FCA knowledgeHybrid role with 80% homeworking and 20% in Stratford-upon-AvonAbout the roleWe have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy team...

  • Environmental Compliance Team Leader

    2 weeks ago

    Newcastle upon Tyne, Newcastle upon Tyne, United Kingdom Nexere Consulting Limited Full time

    Position OverviewThe Environmental Compliance Team Leader will be responsible for overseeing the operations of the Environmental Protection Team at Nexere Consulting Limited. This role is crucial in ensuring adherence to relevant policies and regulations.Key ResponsibilitiesOperational Management: Direct the daily functions of the Environmental Protection...

  • Compliance Consultant

    4 weeks ago

    Stratford-upon-Avon, Warwickshire, United Kingdom NFU Mutual Full time

    18 Month Fixed Term Contract Join an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023 Build on your FCA knowledge Hybrid role with 80% homeworking and 20% in Stratford-upon-Avon About the role We have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy...

  • Compliance Consultant

    4 weeks ago

    Stratford-upon-Avon, Warwickshire, United Kingdom NFU Mutual Full time

    18 Month Fixed Term Contract Join an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023 Build on your FCA knowledge Hybrid role with 80% homeworking and 20% in Stratford-upon-Avon About the role We have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy...

  • Compliance Consultant

    1 month ago

    Stratford-upon-Avon, Warwickshire, United Kingdom NFU Mutual Full time €55,000

    18 Month Fixed Term Contract Join an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023 Build on your FCA knowledge Hybrid role with 80% homeworking and 20% in Stratford-upon-Avon About the role We have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy...

  • Compliance Consultant

    1 month ago

    Stratford-upon-Avon, Warwickshire, United Kingdom NFU Mutual Full time €55,000

    18 Month Fixed Term Contract Join an award-winning company - including Which? Insurance Brand of the Year 2024 and Gallups Exceptional Place to Work 2023 Build on your FCA knowledge Hybrid role with 80% homeworking and 20% in Stratford-upon-Avon About the role We have an exciting opportunity for a Compliance Consultant to join our Compliance Consultancy...

  • Quality & Compliance Auditor

    2 weeks ago

    Newcastle Upon Tyne, United Kingdom G2 Legal Limited Full time

    A UK top 100 law firm with a fantastic reputation within the legal field is currently looking to recruit an experienced Quality & Compliance Auditor to play a key role in the ongoing development and implementation of the firm’s comprehensive internal audit function.You will be required to have proven experience in audit and file reviews within a legal or...

  • Quality & Compliance Auditor

    4 days ago

    Newcastle upon Tyne, United Kingdom G2 Legal Limited Full time

    A UK top 100 law firm with a fantastic reputation within the legal field is currently looking to recruit an experienced Quality & Compliance Auditor to play a key role in the ongoing development and implementation of the firm’s comprehensive internal audit function. You will be required to have proven experience in audit and file reviews within a legal...

  • Quality & Compliance Auditor

    7 days ago

    Newcastle upon Tyne, United Kingdom G2 Legal Limited Full time

    A UK top 100 law firm with a fantastic reputation within the legal field is currently looking to recruit an experienced Quality & Compliance Auditor to play a key role in the ongoing development and implementation of the firm’s comprehensive internal audit function.You will be required to have proven experience in audit and file reviews within a legal or...

  • Personal Tax Consultants

    2 months ago

    Newcastle upon Tyne, United Kingdom Bryony Gibson Consulting Full time

    DOE 5/4 days considered BGC2266TX Permanent - Public Practice - Tax - Newcastle Joining this north east accountancy practice in Newcastle is perfect timing as they engage on an exciting period of change and expansion. With change comes opportunities and as such they are looking to **recruit a number of Personal Tax Consultants.** Working as part of a...

  • Senior Compliance Officer

    3 months ago

    Newcastle upon Tyne, United Kingdom U.S. Bank National Association Full time

    A leader in the payments industry, Elavon provides end-to-end payment processing solutions and services to more than one million merchants around the world. If you want to make a difference in your life, your community and your world, join us at Elavon. We know our company is only as strong as our people, and we are committed to your professional growth and...

  • Senior Environmental Consultant

    3 months ago

    Newcastle upon Tyne, United Kingdom Ramboll Full time

    Job Description Flexible, United Kingdom Are you enthusiastic about carving your path in the world of environment ready to contribute to meaningful change, and eager to join a team where your personal values align with a commitment to building a sustainable future? Look no further, as Ramboll is seeking a talented Senior Environmental Consultan t to...