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Job Description
The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives (“ARs”) and to provide leadership and management within the team. In particular:
- Leading ongoing and ad hoc tasks as required, around signing off financial promotions and compliance reviews.
- Developing deep relationships with the portfolio of clients and meeting their needs; identifying client risk.
- Resolving issues raised by other members of the team and providing technical QA on work products of others.
- Gathering a deep understanding of new AR mandates, identifying the regulatory permissions required to execute the desired business model/strategy, and providing challenge with regards to how such activities are to be undertaken.
- Being responsible for identified technical areas relating to AR activities or implementing changes in regulation as directed.
- Collaborating with colleagues from across RegCom and the wider IQ-EQ group, contributing to cross-firm initiatives.
- Assisting with devising and delivering the business plan for the Client Advisory team and contributing to meeting team objectives.
- Management of business lines or other members of the Client Advisory team.
- Enhancing own understanding of regulatory landscape and offering learning opportunities for others.
- Taking responsibility for own progression including learning & development objectives.
- Following the set policies and procedures around managing conduct risk, financial promotions, and product governance.
- Adhering to all company and IQ-EQ Group policies and procedures.
AIFMD and MiFID
In addition to the required experience outlined, the role requires strong knowledge and practical experience with:
- AIFMD (Alternative Investment Fund Managers Directive)
- MiFID (Markets in Financial Instruments Directive)
This experience will be critical for supporting clients in navigating complex regulatory landscapes, ensuring compliance with EU directives, and enabling strategic growth within the bounds of regulatory frameworks.
Key Competencies
- Can-do mentality and client focus.
- Keen awareness of risk management and risk control.
- Technical expertise and strong understanding of UK regulatory framework.
- Business knowledge across key sectors in which we operate.
- Teamwork and leadership.
- Relationship building with internal and external stakeholders.
- Integrity and honesty.
- Cultural role model.
Key Behaviours We Expect to See
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Attention to detail
- Strong and clear communication – verbal and written.
- Focus on quality
- Curiosity
- Organisation
- Proactivity
- Resilience
- Time management
- Supportive of junior team members
Qualifications
Required Experience
- Educated to degree level.
- 7 years broad-based experience in a compliance role in a financial services firm, ideally a fund or asset manager.
- Deep understanding of FCA regulatory requirements on investment businesses.
- Able to interpret complex regulatory standards and turn them into policies, processes, or procedures that can be implemented in the business.
- Detailed knowledge of the client communications and financial promotions regime.
- Used to working in a client-facing role with a focus on quality and hitting deadlines.
- Good writing style; excellent standard of English.
- Strong project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management.
- Comfortable working within a team environment with a shared commitment to reaching goals; leading by example.
- Experience of managing teams would be an advantage.
- Specialised expertise in AIFMD and MiFID frameworks, including their implementation and compliance requirements.
Additional information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our employees - from 94 nationalities, speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
Company description
ABOUT IQ-EQ
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.
We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top 15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
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