Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
We offer a comprehensive range of compliance consulting solutions for regulated firms, from help with initial regulatory applications and authorisations, through development of suitable policies and procedures, to quarterly reporting and ongoing compliance advice.
Our compliance consultants have extensive experience and will work with you to develop a long-term strategic partnership to power your success. The support we provide ranges from ad hoc requests to a seamless global package or fully outsourced managed compliance solution, depending on your specific needs.
Our goal is to provide the regulatory compliance expertise and guidance you need so that you can focus on what matters most – growing your business and protecting your clients.
- Access to deep topic expertise
- Augmentation of internal resources without increasing fixed costs
- Benchmarking to industry best practice
- Increased investor confidence
- Support during business change
- Structured programme for standard ‘BAU’ tasks, e.g. training, regulatory reporting, monitoring, policies & procedures etc.
Trust us to help you navigate the ever-changing international regulatory landscape in line with your firm’s needs and obligations, providing diligent support tailored to you.
Regional teams
We have expert regulatory compliance teams based in the UK, the U.S., and across Asia. Click below to discover more about the support provided in each region.
Compliance consulting U.S.
Our U.S. Regulatory Compliance team takes ownership of an investment manager’s compliance program and functions as the compliance staff for the investment manager, handling all relevant U.S. regulatory requirements of the SEC, NFA/CFTC, State(s), 40 Act and FINRA.
Compliance consulting Asia
IQ-EQ represents the largest independent regulatory compliance firm in the Asia-Pacific region.
IQ-EQ is the best firm for our needs, they do a good job and they are cost effective for what they do. Michael Savinelli Vice President, Chief Tax Officer & Treasurer, ITT Inc
Get in touch
Rachel Aldridge
Managing Director, Regulatory & Compliance Solutions, UK
United Kingdom
Send email + 44 203 696 1302 Full profile
Andrew Shrimpton
Chair, UK Regulatory and Compliance Solutions, UK
United Kingdom
Send email +44 207 397 5469
Kathy Malone
Head of Compliance and Regulatory Services, U.S.
United States
Send email +1 617 784 0486
Philippa Allen
Head of Sales, Regulatory Compliance, Strategic Relationships, EMEA, Japan & India
Hong Kong
Send email +852 31800480 Full profile
Yishan Lee
Managing Director, Regulatory Compliance, APAC
Singapore
Send email +65 6532 5746 Full profileCompliance consulting FAQs
What does compliance consulting involve?
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
What can a regulatory compliance consulting firm like IQ-EQ do for me?
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.