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Compliance Officer

2 months ago

London, Greater London, United Kingdom IQ-EQ Full time
Job Summary

We are seeking a highly experienced Compliance Officer to join our team at IQ-EQ as our SMF 16. As a key member of our Regulatory Risk Management team, you will be responsible for ensuring that our business operates in compliance with all relevant regulatory requirements.

Key Responsibilities
  • Compliance Oversight: Ensure that our appointed representatives are compliant with all relevant regulatory requirements, including SYSC 12.5 and the AIFMD and FUND sourcebooks.
  • Regulatory Risk Management: Identify, assess, and mitigate regulatory risks across our business, ensuring that we maintain a strong compliance culture.
  • Stakeholder Engagement: Build and maintain effective relationships with regulatory bodies, including the FCA, and ensure that we are well-positioned to respond to any regulatory inquiries or requests.
  • Policy Development: Develop and implement policies and procedures to ensure that our business remains compliant with all relevant regulatory requirements.
  • Team Management: Lead and manage a team of compliance professionals, providing guidance and support to ensure that they are equipped to perform their roles effectively.
  • Reporting: Provide regular reporting to the Compliance Committee and the Board on compliance matters, including any regulatory risks or issues that may impact our business.
Requirements
  • Experience: At least 10 years of experience in a compliance role, with a strong background in regulatory risk management.
  • Knowledge: In-depth knowledge of regulatory requirements, including SYSC 12.5 and the AIFMD and FUND sourcebooks.
  • Leadership: Proven leadership skills, with the ability to manage and motivate a team of compliance professionals.
  • Communication: Excellent communication and interpersonal skills, with the ability to build and maintain effective relationships with regulatory bodies and internal stakeholders.
What We Offer

We offer a competitive salary and benefits package, as well as opportunities for professional development and growth. If you are a motivated and experienced compliance professional looking for a new challenge, we encourage you to apply for this exciting opportunity.