Job description
The main purpose of the role is to support the managers and associates with monitoring the activities of Appointed Representatives (“ARs”) and AIFMs such that risks can be assessed and managed. Taking personal responsibility for monitoring ARs where appropriate. In particular:
- Support with carrying out ongoing monitoring as per the CMP. Includes meeting preparation, writing notes and follow up actions and responding to AR queries
- Building relationships with ARs and understanding their business model so we can take a risk-based approach
- Producing management information (MI) in accordance with the Risk Management Framework
- Collaborating with colleagues from across 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