Description

You will play a key role in ensuring effective oversight of a portfolio of Appointed Representatives (ARs), supporting the Firm in meeting its ongoing regulatory obligations. Working closely with the Head of Compliance Monitoring, you will be responsible for relationship management, quality assurance, escalation handling, regulatory reporting support, and continuous improvement of the AR monitoring framework, in line with Firm-level and IQ-EQ Group policies and procedures.

What you'll do

• You will act as the key relationship manager for a portfolio of Appointed Representatives, ensuring effective oversight of AR activities (excluding IM-mandated ARs) and ongoing regulatory compliance.
• You will oversee the timely completion of quarterly AR monitoring activities by the AR Monitoring Team and the production of formal, detailed quarterly AR Monitoring Reports.
• You will serve as the point of escalation for monitoring issues, supporting the AR Monitoring Team Leader and junior team members in resolving findings, issues, and escalations.
• You will conduct robust quality assurance reviews of AR monitoring work, ensuring high standards of accuracy, record keeping, and regulatory alignment.
• You will support the implementation of formal escalation processes, Quality Assurance frameworks, and SUP 12 reporting requirements within business-as-usual AR monitoring activities, in collaboration with the Head of Compliance Monitoring.
• You will contribute to the ongoing enhancement of the AR Monitoring Framework, supporting the creation and implementation of improvements, including updating relevant policies, procedures, and best practices.
• You will ensure accurate, complete, and well-maintained records at all times, supporting the AR Monitoring Team in implementing strong record-keeping standards, promoting strong governance, audit readiness, and performance review outcomes.

What we offer

• Comprehensive remuneration: Motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
• Pension Scheme: Generous employer contribution with the ability to allow and increase employee contributions
• Wellbeing: Additional social benefits such as private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
• Annual leave: All our employees are entitled to 25 days paid leave, plus all UK public holidays. Enhanced maternity and paternity, including shared parental leave and adoption leave
• Flexible working: We recognise the value of working flexibly and is keen to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangements
• Support and development: We will ensure you have the right training, tools and development plan to grow and improve your skills every day.

Qualifications

• You have 5+ years’ broad-based experience in a compliance role within a financial services firm, with strong exposure to compliance monitoring activities.
• You have a thorough understanding of the Appointed Representative and Principal Firm model and associated regulatory obligations.
• You have strong technical knowledge of FCA regulatory frameworks relevant to authorised firms, particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements.
• You have experience managing or overseeing teams, with the ability to provide guidance, conduct quality assurance reviews, support issue resolution, and drive performance improvement.
• You have excellent stakeholder and relationship management skills, including conflict resolution, with confidence presenting reports and management information to senior management and committees.
• You are highly organised with strong project management, documentation, formatting, and record-keeping skills, with the ability to plan, deliver to agreed deadlines, and manage issues effectively.

Additional Info

OUR COMMITMENT TO YOU AND THE ENVIRONMENT 

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining 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 5,800+ employees - from 94 nationalities, 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 relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.