Company Description

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.

Job Description

The main purpose of the role is to monitor the activities of a portfolio of Appointed Representatives (“ARs”) and/or AIFs (Private Equity, VC, REITs) such that risks can be assessed and managed. In particular:

• Carry out ongoing monitoring as per the CMP - completing work to a high standard in a timely manner, identifying risks and providing recommendations for resolution.
• Undertake monitoring reviews of ARs, AIFs, DPM mandates, including AIF governance and oversight, investment management activities in line with AIFMD and FCA Handbook.
• Contribute the updating of the risk-based compliance monitoring framework to ensure adequate identification, assessment and monitoring of regulatory risks.
• Able to interpret complex regulatory standards and turn them into monitoring framework or testing papers in supporting the monitoring of AIFs and ARs.  
• Developing deep relationships with the portfolio of ARs and meeting their needs; escalating issues and identifying offboarding risks where appropriate.
• Responsibility for doing the data collection for ARs per risk-assessment process.
• In relation to ARs, responsibility to conclude 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

Qualifications

• 3+ years’ experience undertaking compliance monitoring within an asset management firm, fund administrator or corporate trustee firm
• Proven experience relevant to AIFs and monitoring investment management activities, fund governance and product management
• 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

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.