Assistant Manager, Regulatory Compliance

Job Description

Our Risk & Compliance team is growing! Are you detail-oriented with a background in a Fiduciary environment? Come and join our Isle of Man office and you will benefit from our hybrid working policy, employee referral scheme and collaborative and supportive environment.

As part of our Risk & Compliance function, our overall goal is to protect the IQ-EQ Group brand and to support the successful execution of business strategy through the delivery of an integrated compliance culture and programme across the Group.

Our team aims to support the IQ-EQ and FNTC Boards of Directors and senior management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by our regulators.          

What you'll do - 

• Act as a role model to implement a culture which supports the IQ EQ Brand Values and DNA to deliver excellent client service, operational effectiveness and efficiencies.
• Support the Compliance Team in building effective working relationships across all business areas and locations.
• Encourage Compliance administrators to participate in Compliance initiatives and provide mentoring.
• Proactively monitor Compliance issues, including items on registers, to ensure records are up to date to enable timely reporting.
• Ensure compliance with applicable laws, service standards, company policies and procedures and agreed operational and control processes.
• Collaboratively work with Compliance Manager and other management to identify and mitigate the business’s exposure to risk.
• Arranging RACC meetings, gathering papers, chasing outstanding actions, act as Secretary.
• Assist the Head of Compliance in dealing with matters pertaining to the regulatory status of IQ-EQ in Isle of Man and compliance with all relevant legislation and regulations.
• Maintain regulatory and administrative registers – complaints, breaches, high risk & PEP, horizon scanning, outsourcing, regulatory contact, and key persons register.
• Monitoring the Compliance inbox, dealing with queries or allocating items appropriately
• Assist with queries from regulators and auditors.
• Assist with providing MI for various Board reports.
• Monitor training records, following up on due and overdue items referring where necessary.
• Review of The International Stock Exchange documentation, approving prior to submission.