Compliance Advisory Associate

Job Description


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.


  • 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 deep relationships with the portfolio of appointed representatives and clients and meeting their needs; escalating issues and identifying offboarding risks where appropriate
  • Working with minimal guidance and ensuring work produced is subject to the appropriate QA review
  • Being responsible for analysing technical issues and providing recommendations. Training and guiding colleagues in relation to those technical issues
  • 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 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, 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
  • 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



Required experience

  • Ideally educated to degree level
  • 3 years broad based experience in a compliance role in a financial services firm, ideally a fund or asset manager
  • Good 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
  • Familiarity with the client communications and financial promotions regime would be a benefit
  • Used to working in a client facing role with focus on quality and hitting deadlines
  • Good writing style; excellent standard of English
  • Good project management skills – understanding a brief, planning, delivery to agreed deadlines, issue management
  • Used to working within a team environment with a shared commitment to reaching goals


Additional information

At IQ-EQ 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 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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