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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.

The Compliance Consulting Associate will successfully support consultants on a portfolio of Firms by providing compliance advice, including a variety of core compliance areas and technical assistance, aiming to ensure positive client feedback.

Part of a growing team and business, this is a multi-faceted role, created in response to client requests for dedicated support combining:

• Ongoing compliance assistance, in the form of regular monitoring and attending advisory meetings; and
• Supporting a team of consultants with the aim of developing into the consulting role.

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

• Responsive regulatory advice and solutions;
• Supporting varied engagements such as: KYC refresh projects, AML Risk Assessments and Internal Capital and Risk Assessments (ICARA);
• Updating clients on regulatory changes and how it impacts their business;
• Setting up relevant policies, procedures and working documentation for clients;
• Working with consultants and clients to devise their risk-based monitoring programmes;
• Supporting regular compliance monitoring or review visits onsite with clients, and subsequently writing up working papers and reports;
• Involvement in designing / running training courses;
• Involvement in reviewing upcoming regulatory requirements and drafting thought leadership publications;
• Taking part in reviews of RegData filing and financial reporting;
• Building / developing client relationships.

• 1 to 2 years’ experience working within Compliance or AML/KYC support function at comparable compliance consultants who are main competitors (e.g. ACA Compliance (Europe); Bovill Ltd and Kroll) or in a compliance role in a regulated investment firm (e.g. Article 3 MiFID Exempt, MIFIDPRU, or CPMI) or with a regulatory lawyer; or,
• Working knowledge of Money Laundering Regulations, FCA regulations in the context of AIFM and MiFID Managers (an understanding of Private Equity would be helpful but not essential);
• Experience of delivering compliance monitoring and advisory work, gained in house or within a consultancy environment would be advantageous;
• Experience of financial reporting or FCA prudential requirement reviews would be advantageous;

Education / professional qualifications

• Bachelors degree / CISI Diploma preferred though not essential

Background experience

• Technical
• FCA Regulatory Compliance, Money Laundering Regulations

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.