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Job Description
COMPLIANCE MONITORING ASSOCIATE
Responsibilities
The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFMs such that risks can be assessed and managed. In particular:
Carrying out ongoing monitoring as per the CMP
Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate
Identifying risks and producing management information (MI) in accordance with the Risk Management Framework
Collaborating with colleagues from 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
Qualifications
2+ years’ experience undertaking compliance monitoring within financial services with an asset management focus
Bachelor’s degree in accounting, finance, law or related field, or relevant professional industry qualifications.
Experience within the investment fund industry, with a knowledge of AIFMD including policies and processes for alternative investment funds, and wealth management policies and processes.
Strong time management and organizational abilities.
Strong communication skills, both written and verbal.
Key competencies
Can-do mentality
Risk management mindset
Well organized, good documentation skills, persistent
Teamwork
Relationship building with internal and external stakeholders
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
Organization
Proactivity
Resilience
Time management
Willingness to learn
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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