Compliance Advisory Analyst

Job Description

Responsibilities

The main purpose of the role is to provide advice and guidance to a portfolio of Appointed Representatives (“ARs”) and our directly regulated businesses. This may be associated with regular tasks such as reviewing client communications, or with providing advice on regulatory topics and business activities.

Tasks

• Carrying out ongoing and ad-hoc tasks as directed, in particular around client communications, regulatory horizon scanning or compliance reviews
• Assisting with the implementation of regulatory regimes and any changes in policies or processes
• Developing relationships with the portfolio of appointed representatives and clients and meeting their needs; escalating issues and identifying offboarding risks where appropriate
• Maintaining registers and records as required
• Assisting ARs with MaxComply registers
• Ensuring work produced is subject to the appropriate QA review
• Analysing regulatory developments and developing training material
• Maintaining our firms’ regulatory registrations with applicable regulators, including the SEC and NFA (US regulators)
• Collaborating with colleagues from across IQ-EQ RegCom and the wider IQ-EQ group
• Assisting with the delivery of the business plan for the Advisory 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, client communications and product governance
• Adhering to all company and IQ-EQ Group policies and procedures

Key competencies

• Can-do mentality and client focus
• Awareness of risk management and compliance oversight over business activities
• Developing an understanding of a broad range of compliance and regulatory topics
• Teamwork
• Relationship building with internal and external stakeholders
• Project management

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
• Organisation
• Proactivity
• Resilience
• Time management
• Willingness to learn