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Regulatory Compliance Manager
2 weeks ago
**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** The overall goal of the Group Risk & Compliance (GRC) function is to protect the Group brand and to support the successful execution of the Group’s business strategy through the delivery of an integrated risk and compliance programme across the Group. GRCaims to support the Board and senior management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by our regulators, and more generally by supporting the effectiveand continuous development and operation of the Group’s risk management framework.
The Manager / Senior Manager, Group Compliance is a new role that reflects and supports the Group’s continued commitment to maintain a robust regulatory compliance framework. The role holder will be responsible for working with the Group Head of Compliance(GHC) in a small team within the GRC function dedicated to the development and ongoing maintenance of the Group’s Compliance and Risk Management Programmes, reflecting the importance that the Group places on compliance and risk management, and in light ofthe Group’s continued expansion.
The role holder will be responsible for supporting the GHC in ensuring that robust compliance and risk management measures are in place at a Group level; providing oversight and challenge across the Group to ensure that known regulatory compliance risksand issues are being managed appropriately, escalating to the GHC when this is not the case; and for helping to ensure that employees are aware of the Group’s regulatory compliance obligations.
The role holder will report to the GHC and will also work closely and collaboratively with key stakeholders, including local cluster Compliance Officers across the Group, to drive best practice across the Group in all matters related to regulatory compliance.
Day to day:
- Undertake annual reviews of the Group’s Regulatory Compliance Policies, ensuring that they continue to reflect key regulatory requirements and industry best practices
- Own and develop the Regulatory Compliance elements of the Group’s Template Compliance Monitoring Framework
- Undertake regular regulatory compliance focused horizon scanning to assess the impact of emerging regulatory change on the Group’s Regulatory Compliance and Risk Management Framework, presenting results and proposed approach addressing emerging risks tothe GHC
- Liaise with the broader GRC Team, to determine any new higher risk regulatory compliance issues arising from, but not limited to.
- Conduct periodic regulatory assurance reviews and draft reports for GHC review, on the status of local / cluster regulatory compliance frameworks
- Escalate regulatory compliance issues, concerns, and risk appetite breaches to the GHC together with recommended solutions to successfully manage the issues to resolution
- Provide robust constructive challenge to local / cluster Compliance Officers where controls are deemed inadequate and/or issues not being addressed
- Support local / cluster Compliance Officers managing regulatory compliance themed regulatory visits and post visit actions
- Deputise for GHC, when required, as SME on regulatory compliance related remediation projects
**Qualifications**
- University degree and/or relevant professional qualification
- Experience of working in Compliance and/or risk management role in a large multi-regulator Group.
- Good knowledge of regulatory compliance requirements and best practices, in relation to at least the UK and/or EU asset and wealth management sector.
- Has experience of and/or familiarity with: Drafting Policies, Procedures, Compliance Monitoring and Assurance Programmes, Horizon Scanning Compliance Advisory ( providing advice as an SME on regulatory compliance matters)
- Strong working knowledge of both trust and company administration and investor services (fund admin) sectors.
- Stakeholder management and people influencing experience
**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 alsooffer opportunities across our service lines and our international network of offices.
