London, United Kingdom

Compliance Monitoring Associate

Full-time / part-time
Full-time
Level
Associate
Department
Client Services
Address
3 More London Riverside
London
SE1 2RE
United Kingdom

Job description

The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFMs such that risks can be assessed and managed. In particular:

  • 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 RegCom 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
  • Taking responsibility for own progression including learning & development objectives
  • Following the set policies and procedures around managing conduct risk and appropriate AR oversight
  • Adhering to all company and IQ-EQ Group policies and procedures

Qualifications

  • 2+ years’ experience undertaking compliance monitoring within financial services with an asset management focus
  • Bachelor’s degree in accounting, finance, law or related field, or relevant professional industry qualifications.
  • Experience within the investment fund industry, with a knowledge of AIFMD including policies and processes for alternative investment funds, and wealth management policies and processes.
  • Strong time management and organizational abilities.
  • Strong communication skills, both written and verbal.

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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