Compliance Client Advisory Manager

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, 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.

Qualifications

  • 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

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 5,500+ 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 5,500+ 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.

Apply now
< Back to search results

Why work at IQ-EQ?

We power people and possibilities

Our benefits & culture

Recruitment experience

Everything you need to know

Our selection process