Compliance Monitoring Associate
Compliance Monitoring Associate
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Job Description
Youll act as an integral part of the new business client onboarding and the ongoing monitoring of processing client due diligence (CDD).
Provide adequate and appropriate guidance on CDD enquiries raised by the Client Services Teams and actively supporting team members by providing onthejob training and subject matters point of reference.
What Youll Do
The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (ARs) and AIFMs 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 IQEQ 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 IQEQ Group policies and procedures
Qualifications :
What Youll Bring
- 2 years experience undertaking compliance monitoring within financial services with an asset management focus
- Bachelors 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.
Why Join Us
- Hybrid flexibility work from office 2 days a week.
- A supportive teamdriven environment with opportunities to grow.
- Benefits such as Pension scheme life cover income protection and many more.
If youre detailed oriented and thrive in a fastpaced setting wed love to hear from you!
At IQEQ we thrive on expertise collaboration and innovation. This isnt just a job its an opportunity to be a part of something bigger.
Additional Information :
At IQEQ 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.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
