The Associate Compliance Consultant will be a junior member of the team and will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical AML assistance, aiming to ensure positive client feedback.
Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:
- ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and
- supporting a team of senior consultants with the aim of developing into the consulting role.
- Responsive regulatory advice and solutions;
- Supporting varied engagements such as: KYC refresh projects, AML Risk Assessments and Internal Capital and Risk Assessments (ICARA);
- Updating clients on regulatory changes and how it impacts their business;
- Drafting and updating relevant policies, procedures and internal working documentation for clients;
- Working with senior consultants and clients to devise their risk-based monitoring programmes or thematic risk assessments;
- Supporting regular compliance monitoring or review visits with clients, and subsequently writing up working papers and reports;
- Involvement in designing and running training courses;
- Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
- Supporting senior consultants and clients in completion and reviews of RegData filing and financial reporting;
- Building / developing client relationships.
Key competencies for position and level
- Developing process
- Time Management
- Attention to detail
- Strong communication skills, written and verbal
- Enthusiastic and team focused approach
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:
- Trust - ability to be empowered and be relatively autonomous in day to day tasks;
- Focus on growth and career development.
- Financial services experience working within Compliance or AML/KYC support function at comparable compliance consultants who are main competitors (e.g. ACA Compliance (Europe); Bovill Ltd and Kroll) or in a compliance role in a regulated investment firm (e.g. Article 3 MiFID Exempt, MIFIDPRU, or CPMI)
- Working knowledge of Money Laundering Regulations, FCA regulations in the context of AIFM and MiFID Managers (an understanding of Private Equity would be helpful but not essential);
- Experience of delivering compliance monitoring and advisory work, gained in house or within a consultancy environment would be advantageous;
- Ability to implement solutions to address the regulatory requirements of the client;
- Experience of financial reporting or FCA prudential requirement reviews;
- Education / professional qualifications -Bachelors degree / CISI Diploma preferred though not essential
- Background experience - At least 2-3 years in financial services
- Technical - Some knowledge of FCA Handbook and FCA guidance Money Laundering Regulations
- Computer / program knowledge - Microsoft / Word/ Excel/ PowerPoint
- Company, product and market knowledge - Investment/ PE/ Fund industry
- Management and leadership - No
- Languages - No
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.
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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