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Senior Regulatory Consultant

2 months ago

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

Key Responsibilities

The Principal Compliance Specialist will independently cultivate and manage essential client partnerships, spearhead project initiatives (including client secondments, AML investor refreshes, and regulatory transformation projects such as IFPR and FCA mock assessments) while mentoring and overseeing junior team members.

This role involves the effective execution of compliance monitoring program evaluations, drafting and reviewing policies and procedural guidelines, and overseeing the creation of reports and manuals to uphold regulatory standards. Additionally, the Specialist will provide compliance guidance to client organizations.

Acting as the primary point of contact for a designated portfolio of firms, the Principal Compliance Specialist will address client inquiries and ensure that top-tier support is consistently delivered.

We seek a collaborative individual eager to advance their career within a rapidly expanding business sector.

Core Duties
  • Deliver timely and pertinent regulatory advice and solutions.
  • Focus on AML aspects of Private Equity transactions.
  • Keep clients informed about regulatory updates and their implications for business operations.
  • Draft compliance manuals and documentation tailored for clients.
  • Establish relevant policies, procedures, and operational documentation for clients.
  • Collaborate with clients to develop customized risk-based monitoring strategies.
  • Conduct regular onsite compliance monitoring visits with clients, followed by the preparation of working papers and compliance reports.
  • Participate in the design and facilitation of training sessions.
  • Build, nurture, and enhance client relationships.
  • Oversee all facets of the compliance program, including reviewing the contributions of project team members.
  • Contribute to the enhancement of technical knowledge and compliance frameworks pertinent to client needs.
  • Engage in comprehensive reviews of the largest and most intricate client accounts.
  • Identify, manage, and support various projects and internal initiatives (e.g., drafting articles for industry publications, participating in sales efforts, conducting or supervising research).
  • Provide guidance and feedback to junior colleagues.
Qualifications

Essential Experience
  • Relevant experience in financial services, ideally within the compliance consulting domain.
  • Solid understanding of the financial services landscape, particularly concerning Private Equity Managers, ideally acquired through experience at a Private Equity Firm.
  • In-depth knowledge of FCA regulations, especially regarding AIFMs and MIFID, PRU investment firms.
  • Demonstrated success in compliance roles within consultancy, asset management, or investment management.
  • Ability to implement effective solutions to meet client regulatory requirements.
  • Familiarity with the FCA handbook.
  • Exceptional verbal and written communication skills.
Educational Background
  • Degree in Accounting, Law, or Finance is preferred but not mandatory if the candidate has substantial relevant experience.
Technical Skills
  • Proficiency in FCA Compliance.
  • Competence in Microsoft Office Suite (Word, Excel, PowerPoint).
Company Overview

ABOUT IQ-EQ

IQ-EQ is a premier Investor Services group delivering comprehensive solutions in administration, accounting, reporting, and compliance for the global investment sector. With a workforce exceeding 5,500 across 25 jurisdictions and assets under administration surpassing US$750 billion, we collaborate with 13 of the top 15 private equity firms worldwide.

Our services are bolstered by a commitment to ESG principles and cutting-edge technology, including a global data platform and innovative proprietary tools, all supported by our in-house experts. What truly sets us apart is our people, who operate as trusted partners to our clients, providing intelligent solutions through a blend of technical expertise and deep client understanding.