Manager Regulatory Research and Horizon Scanning

Job Description

Responsibilities (how we will measure success)

To provide support for the Group’s Regulatory horizon scanning strategy and arrangements throughout the business.

The role holder will be responsible for working with the Group Head of Compliance (GHC), in leading a small team within the Group Risk and Compliance (GRC) function dedicated to the development and ongoing maintenance of the Group’s horizon scanning activities, including reporting up to the Group Horizon Scanning Forum (GHSF) and reflecting the importance that the Group places on timely identification of new regulatory and legislative changes, enabling better risk management and identification of commercial opportunities. 

The GHSF aims to -

  1. Identify future developments (emerging opportunities and threats), and its driving forces, in areas that are of strategic, operational, regulatory, and reputational importance to the Group, 
  2. Understand gaps in current Group policy or strategy in relation to areas of emerging opportunities and threats,
  3. Establish resilient new strategy in response to emerging opportunities and threats, creating an adaptable environment to changing external conditions, and
  4. Build consensus across the Group on how to tackle emerging opportunities and threats and mobilise key stakeholders to action.

Why IQEQ (what you can expect from us)

This is an exciting time to join IQ-EQ, one of the largest investor service companies in the world. The role will be part of a growing team at GRC, at a time of significant expansion across IQ-EQ  and will present a fantastic opportunity to learn and support the business at a crucial point in its journey.

You will be based in our newly opened IQ-EQ India offices and will be part of IQ-EQ’s ambitious growth strategy in India and beyond.

In this role, you will have regular access to senior stakeholders across risk & compliance and commercial teams, across multiple locations, thus giving you an excellent opportunity to develop professional relationships across the IQ-EQ  at an early stage in your career.

Tasks (what does the role do on a day-to-day basis)

Be responsible for the systematic examination of regulatory, political, and business market information, utilizing online research methods, to identify emerging risks and opportunities relevant to IQ-EQ.

This work will include, but not be limited to the following:

  • Provide Horizon Scanning coverage of key business segment areas within IQ-EQ, utilizing the Horizon Scanning model adopted by the GHSF. The business segments areas are - Funds and Institutional Services, Private Wealth Management Services, Corporate Services, and Capital Markets Services,
  • Act as key point of contact and support for the GHSF, local Compliance Officers and the commercial business development teams in the Group (“Key Stakeholders”), providing advice and information analysis support, on matters covered by the Horizon Scanning team,
  • Assess and examine the internal risk and external commercial impact of regulatory and legislative developments and create briefing papers for Key Stakeholders,
  • Maintain and update the GHSF Tracker and meeting schedule, including additional drop-in sessions with commercial business development team,
  • Develop and maintain a core set of procedures and template forms to help embed and ensure consistent coverage of horizon scanning activities and communication to GHSF and other key stakeholders, including quarterly reporting to senior management via GMT and GRACC,   
  • Assist the Group Head of Compliance in liaising with the broader GRC Team, to identify new regulatory and legislative developments, in specific subject matter areas of –
      • Financial Crime Compliance
      • ESG Compliance
      • Data Protection Compliance
      • AI and Information Security Compliance
  • Liaise with the GRC Assurance Team to inform on areas of review for assessing compliance with regulatory developments.
  • + Help build and manage Horizon Scanning team?

Key competencies for position and level

  • Solution orientated approach to issue resolution, 
  • High level of understanding of financial regulations, compliance frameworks and robust risk management measures,  
  • Hands on and collaborative approach, with an independence of mind and sound professional judgement,
  • Resilience – ability to work and adapt in a fast paced, demanding and highly complex regulatory and commercial environment.


Education / professional qualifications

  • Law / Financial Regulations / Equivalent Education – LLB, LLM, LLB with Finance, LLM with Banking etc.

Background experience

  • 8-12 years of experience in an Investment management firm / Regulatory Research Experience/ Global Investment Banking/Risk and Compliance Consulting


  • Experience of online research of regulatory development and ability to cover multiple regulatory jurisdictions;
  • Experience of managing and developing R&C subject matter notes, commercial briefing papers and training content.

Computer / program knowledge

  • Expertise in standard Microsoft Office products;
  • Experience in content-management tools.

Management and leadership

  • Must possess the ability to positively engage others and take on direct management responsibility;
  • Experience in managing teams and working with extended team remotely. 


  • Fluent in English.

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.

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:

  • Leadership
  • Integrity
  • Analytical
  • Organisation
  • Proactivity
  • Relationship building
  • Taking ownership
  • Resilience
  • Logic

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

  • Strong research and analytical skills, good attention to detail and ability to present complex technical information succinctly and clearly.
  • Possesses a willingness to help develop the role and team in a rapidly changing environment.
  • Self-motivating and able to work under own initiative and in a fast paced, high-pressured environment.
  • Hard-working, reliable, and supportive.

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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