Newcastle Upon Tyne, United Kingdom

Compliance Monitoring Associate

Full-time / part-time
Compliance & Risk
Neville St,
Newcastle Upon Tyne
United Kingdom

Job description

Based in the Newcastle office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance, with a focus on Compliance Monitoring across a portfolio of Appointed Representatives and for the Principal Firms within the Lawson Conner group of companies.

What is an Appointed Representative: 

An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm’s authorisation known as the principal firm.

Day-to-day as Compliance Monitoring Associate:

  • Carrying out ongoing monitoring as per the CMP
  • Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
  • Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
  • Collaborating with colleagues from across LC and the wider IQ-EQ group
  • Assisting with the delivery of the business plan for the Monitoring team and contributing to meeting team objectives
  • Enhancing own understanding of regulatory landscape and taking learning opportunities that are offered
  • Following the set policies and procedures around managing conduct risk and appropriate AR oversight


  • Bachelors degree preferred (Economics, Law, Business), or equivalent professional experience
  • Demonstrable experience in an FCA regulated firm, within a Compliance or Risk function
  • Strong communication skills, written and verbal
  • Excellent client facing skills and interpersonal communication skills
  • Excellent user of Microsoft Office
  • Experience of working to tight deadlines
  • Strong organisational skills
  • Hands on approach, and attention to detail
  • Desire to work in an dynamic, fast-growing company with all the benefits of working for a broader global Group with blue-chip clients and an ambition to be best in class

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.

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.

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