Compliance Consultant

6 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.


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