Compliance Monitoring Associate (Sapia)

Job Description


The main purpose of the role is to support the managers and associates with monitoring the activities of Appointed Representatives (“ARs”) and AIFMs such that risks can be assessed and managed. Taking personal responsibility for monitoring ARs where appropriate. In particular: 

  • Support with carrying out ongoing monitoring as per the CMP. Includes meeting preparation, writing notes and follow up actions and responding to AR queries 
  • Building relationships with ARs and understanding their business model so we can take a risk based approach 
  • Producing management information (MI) in accordance with the Risk Management Framework 
  • Collaborating with colleagues from across RegCom and the wider IQ-EQ group 
  • Assisting with the delivery of the business plan for the Monitoring 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 and appropriate AR oversight 
  • Adhering to all company and IQ-EQ Group policies and procedures 


  • 1+ years’ experience undertaking compliance monitoring within financial services, or a similar role (i.e Internal Audit, Control assessments) 
  • Bachelor’s degree in accounting, finance, law or related field, or relevant professional industry qualifications. 
  • Experience within the financial services industry, preferably with a knowledge of Asset Management including alternative investment funds, and wealth management. 
  • Strong time management and organizational abilities. 
  • Strong communication skills, both written and verbal. 

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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