London, United Kingdom

Compliance Monitoring Associate

Full-time / part-time
London Bridge
United Kingdom

Job description

Our perfect candidate will have 3+ years’ experience undertaking compliance monitoring within financial services with an asset management focus

The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFs 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


  • 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.

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.

What is Investor Solutions:

  • The creation of IQ EQ Investor Solutions stems from many years of servicing funds of fund clients, ultra-high net worth individuals & institutional investors / Asset Owners. Clients have been requesting solutions which provide full transparency on their portfolios, especially around their private deals. Investors need to know the finer details of their portfolios and they require “drill down” into their underlying assets and portfolios.
  • IQ EQ Investor Solutions Team in addition to providing the Fund Admin / accounting services to the clients mentioned above. It is leveraging state of the art technologies (“Cosmos”) alongside the technical operational expertise in providing dynamic and transparent reporting solutions to fund managers as well as the Asset Owner community.