Compliance Advisory Analyst

Job Description

Responsibilities 

The main purpose of the role is to support in the provision of advice and guidance to a portfolio of Appointed Representatives (“ARs”) and AIFMs. This may be associated with regular tasks such as reviewing financial promotions, or with ad hoc requests from the client. In particular:

• Carrying out ongoing and ad hoc tasks as directed, in particular around financial promotions or compliance reviews
• Developing deep relationships with the portfolio of clients and meeting their needs; escalating issues and identifying offboarding risks where appropriate
• Undertaking regulatory horizon scanning to assist the business with identifying applicable new and changing regulations
• Ensuring work produced is subject to the appropriate QA review
• Being responsible for identified technical issues as directed. Training and guiding colleagues in relation to those technical issues
• Input to the various committee processes as directed
• Collaborating with colleagues from across 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 including through the preparation and delivery of training materials
• 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, financial promotions and product governance
• Adhering to all company and IQ-EQ Group policies and procedures

Key competencies

1. Can-do mentality and client focus
2. Awareness of risk management and risk control
3. Technical expertise
4. Teamwork
5. Relationship building with internal and external stakeholders
6. Integrity and honesty

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
• Willingness to learn