Job description
The main purpose of the role is to support the Compliance Officer with monitoring the activities of the Depositary operations teams and other applicable core regulatory obligations such that risks can be assessed and managed. Taking personal responsibility for monitoring operations where appropriate. In particular:
- Support with carrying out ongoing monitoring as per the compliance monitoring plan. Includes meeting preparation, writing notes and follow up actions and responding to operational team queries
- Assisting with alignment to Group Risk & Compliance standards
- Assisting with production of management information (MI) for compliance and regulatory reporting
- Participating in independent risk reviews, compliance reviews and thematic reviews
- Assisting with the oversight of the training and competency regime, to include assisting with development of material where appropriate
- Collaborating with colleagues within the Depositary and the wider IQ-EQ group as appropriate
- Enhancing own understanding of Depositary / AIFMD / regulatory landscape and taking learning opportunities that are offered
- Assisting with the preparation of materials relating to regulatory developments and horizon scanning
- Adhering to all company and IQ-EQ Group policies and procedures