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Job Description
Responsibilities
The Senior Compliance Consultant will be able to independently manage and develop key client relationships, lead client project work (client secondments, AML investor refreshes, regulatory change projects e.g. IFPR, FCA mock visits/Health check reviews) and take part in the development and oversight of junior colleagues.
The Senior Compliance Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting, and reviewing policy and procedure reviews, drafting and overseeing the preparation of reports and manuals to reinforce regulatory requirements, and providing compliance advice to client firms.
They will support and be the first point of contact for a portfolio of Firms providing ongoing compliance support. The Senior Compliance Consultant will address client feedback and ensure market leading support is provided to clients throughout.
A team oriented individual, looking to further their career in a fast-growing business line.
Tasks
- Provide responsive and relevant regulatory advice and solutions.
- Private Equity focused AML on transactions.
- Update clients on regulatory changes and how it impacts their business.
- Draft manuals and other compliance documentation for clients.
- Set up relevant policies, procedures and working documentation for clients.
- Work with clients to devise bespoke risk-based monitoring programmes.
- Carry out regular compliance monitoring visits onsite with clients, and subsequently write up working papers and compliance monitoring reports.
- Involvement in designing / running training courses.
- Build, manage and develop client relationships.
- Deliver all aspects of compliance programme, including overseeing and reviewing the work of project team members.
- Actively contribute to building technical knowledge and compliance infrastructure on compliance matters relevant to clients
- Perform a broad scope of work during reviews of largest and most complex clients.
- Identify, manage and/or support projects and internal initiatives (e.g., draft articles for industry publications, participate in sales, conduct or oversee research).
- Support, and provide feedback to junior colleagues.
Qualifications
Required experience
- Relevant and comparable financial services experience, preferably within the compliance consulting sector.
- Practical understanding of the financial services industry especially Private Equity Managers preferably gained through a period working at a Private Equity Firm.
- Technical knowledge of FCA regulations especially with regard to AIFMs and MIFID, PRU investment firms.
- Proven track record within compliance gained within Compliance consultancy, Asset / Investment Management.
- Ability to implement solutions to address the regulatory requirements of the client.
- Knowledge of the FCA handbook.
- Excellent oral and written communication skills.
Education / professional qualifications
- Accounting, Law, Finance – not essential if candidate possesses proven, relevant industry experience
Bachelors degree / CISI Diploma
- Degree level educated with industry standard qualifications – not essential if candidate possesses proven, relevant industry experience
Background experience
Technical
- FCA Compliance
Computer / program knowledge
- Microsoft / Word/Excel/PowerPoint
Company, product and market knowledge
- PE/Fund industry
Management and leadership
- Beneficial but not required
Language
- English
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.
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