Company Description
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
N.B. initially this is a 12-month fixed term contract, covering maternity leave.
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
Key competencies
- Can-do mentality
- Risk management mindset
- Well organised, good documentation skills, persistent
- Teamwork
- Relationship building with internal and external stakeholders
- Integrity and honesty
Key behaviours we expect to see
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 learn
Qualifications
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
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.
There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,500+ employees - from 94 nationalities, speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing long-term relationships with our clients and supporting them in achieving their objectives. We understand that our client’s sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.
What We Do
We are IQ-EQ, a leading investor services group employing 4300+ people across 24 jurisdictions worldwide. We bring together that rare combination of global technical expertise and a deep understanding of our clients' needs.
We have the know how and the know you to deliver for our clients - fund managers, multinational companies, family offices and private clients operating worldwide.
