Compliance Monitoring Associate

at  IQEQ

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 5,800+ 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.
Job Description

The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFs 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

NB – the responsibilities of associates and senior associates are similar except that senior associates are expected to manage more complex mandates and more challenging Ars

REQUIRED EXPERIENCE

• 3+ 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.
  Additional Information

The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and AIFs 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 procedure

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
• Organisation
• Proactivity
• Resilience
• Time management
• Willingness to lear