Client Advisory Manager, Regulatory Compliance

IQ-EQ

  • London
  • Permanent
  • Full-time
  • 16 days ago
Company DescriptionWe'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.At IQ-EQ UK, we don't just talk about being a great workplace - we've been recognized for it. Recently named in The Sunday Times Best Place to Work 2025 we craft spaces where potential is nurtured, individuality is celebrated, and careers flourish. Loving where you work shouldn't be a bonus, it should be the baseline.Job DescriptionThe main purpose of the role is to work with the Client Advisory Team and the SMF 16, managing the implementation of regulatory change initiatives. Since the Client Advisory Team have a large portfolio of Appointed Representatives (ARs) to work with on a daily basis, support is required to deliver enhancement projects and strategically important change initiatives to ensure we are meeting regulatory expectations. In particular:
  • Delivering projects as directed by the Head of Client Advisory and SMF 16. Examples might include:
  • Implementation of recommendations raised by the Principal Compliance Team's reviews
  • Supporting the annual AR ongoing suitability review process
  • Rolling out enhancements to programmes such as the AR conflicts of interest assessments
  • Client categorisation assessments and reviews of client contracts
  • Review and strengthening our internal approval assessment process for ARs
  • Providing guidance on the implementation of change to other teams, as well as QA-ing the outcome of such change
  • Supporting the Client Advisory team on client issues where appropriate
  • Acting as technical SME, ensuring that changing FCA requirements are built into our ARs' processes
  • Identifying issues and supporting the business and ARs to resolve them; escalating issues where appropriate
  • Adhering to all company policies and procedures.
QualificationsGains trust and respect through demonstrating technical expertiseChange agent - able to effectively manage changeEstablishes and maintains effective relationships with a wide variety of internal and external stakeholdersDelivery focus to get projects completed on time and to the required standardUnderstands the needs of clients and demonstrates a service mentalityResolves issues in a collegiate manner ensuring the outcome meets the needs of the business and the clientAdditional InformationOUR COMMITMENT TO YOU AND THE ENVIRONMENTAs 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 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.

IQ-EQ