Client Advisory Manager – Regulatory Compliance

Job Description

Responsibilities (how we will measure success)

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, in particular 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 offers learning opportunities for others.
  • Following the set policies and procedures around managing conduct risk, financial promotions and product governance.


  • Extensive experience in a compliance role within 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 focus on quality and hitting deadlines.
  • Strong project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management.
  • Experience of managing teams would be an advantage.

Additional information

At IQ EQ Group 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 part of 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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