Senior Compliance Consultant | London, UK

Senior Compliance Consultant

IQ EQ Administration Services (UK) Ltd, London, United Kingdom

Job Description

Responsibilities

• The Senior Compliance Consultant will 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.
• Effectively deliver compliance monitoring programme assessments, draft and review policy and procedure reviews, draft and oversee the preparation of reports and manuals to reinforce regulatory requirements, and provide compliance advice to client firms.
• Support and be the first point of contact for a portfolio of Firms providing ongoing compliance support.
• 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

• 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.

We are committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

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.