London, United Kingdom

Compliance Consulting Associate

Full-time / part-time
Full-time
Level
Associate
Address
London Bridge
London
United Kingdom
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Job description

The Compliance Consulting Associate will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical assistance, aiming to ensure positive client feedback.

Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:

  • Ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and
  • Supporting a team of consultants with the aim of developing into the consulting role.

Tasks (what does the role do on a day-to-day basis)

  • Responsive regulatory advice and solutions;
  • Supporting varied engagements such as: KYC refresh projects, AML Risk Assessments and Internal Capital and Risk Assessments (ICARA);
  • Updating clients on regulatory changes and how it impacts their business;
  • Setting up relevant policies, procedures and working documentation for clients;
  • Working with consultants and clients to devise their risk-based monitoring programmes;
  • Supporting regular compliance monitoring or review visits onsite with clients, and subsequently writing up working papers and reports;
  • Involvement in designing / running training courses;
  • Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
  • Taking part in reviews of RegData filing and financial reporting;
  • Building / developing client relationships.

Qualifications

  • 1 to 2 years’ experience working within Compliance or AML/KYC support function at comparable compliance consultants who are main competitors (e.g.  ACA Compliance (Europe); Bovill Ltd and Kroll) or in a compliance role in a regulated investment firm (e.g. Article 3 MiFID Exempt, MIFIDPRU, or CPMI) or with a regulatory lawyer; or,
  • Working knowledge of Money Laundering Regulations, FCA regulations in the context of AIFM and MiFID Managers (an understanding of Private Equity would be helpful but not essential);
  • Experience of delivering compliance monitoring and advisory work, gained in house or within a consultancy environment would be advantageous;
  • Experience of financial reporting or FCA prudential requirement reviews would be advantageous;

Education / professional qualifications

  • Bachelors degree / CISI Diploma preferred though not essential

Background experience

  • Technical
  • FCA Regulatory Compliance, Money Laundering Regulations

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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