Assistant Manager, Regulatory Compliance
Company Description
IQ EQ Group Management (Isle of Man) Limited is part of 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
Our Risk & Compliance team is growing! Are you detail-oriented with a background in a Fiduciary environment? Come and join our Isle of Man office and you will benefit from our hybrid working policy, employee referral scheme and collaborative and supportive environment.
As part of our Risk & Compliance function, our overall goal is to protect the IQ-EQ Group brand and to support the successful execution of business strategy through the delivery of an integrated compliance culture and programme across the Group.
Our team aims to support the IQ-EQ and FNTC Boards of Directors and senior management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by our regulators.
What you'll do -
- Act as a role model to implement a culture which supports the IQ EQ Brand Values and DNA to deliver excellent client service, operational effectiveness and efficiencies.
- Support the Compliance Team in building effective working relationships across all business areas and locations.
- Encourage Compliance administrators to participate in Compliance initiatives and provide mentoring.
- Proactively monitor Compliance issues, including items on registers, to ensure records are up to date to enable timely reporting.
- Ensure compliance with applicable laws, service standards, company policies and procedures and agreed operational and control processes.
- Collaboratively work with Compliance Manager and other management to identify and mitigate the business’s exposure to risk.
- Arranging RACC meetings, gathering papers, chasing outstanding actions, act as Secretary.
- Assist the Head of Compliance in dealing with matters pertaining to the regulatory status of IQ-EQ in Isle of Man and compliance with all relevant legislation and regulations.
- Maintain regulatory and administrative registers – complaints, breaches, high risk & PEP, horizon scanning, outsourcing, regulatory contact, and key persons register.
- Monitoring the Compliance inbox, dealing with queries or allocating items appropriately
- Assist with queries from regulators and auditors.
- Assist with providing MI for various Board reports.
- Monitor training records, following up on due and overdue items referring where necessary.
- Review of The International Stock Exchange documentation, approving prior to submission.
Qualifications
- Relevant professional qualification such as an ICA Compliance Certificate
- Previous Trust Company experience (desirable)
- Experience/knowledge of working in a Fiduciary environment
- Practical knowledge and application of Isle of Man regulations
- Good IT systems knowledge, excellent administrative skills, high level of accuracy and attention to detail
- Supporting more junior team members, cross training and promoting teamwork and collaboration amongst others.
At IQ-EQ, we thrive on expertise, collaboration, and innovation. This isn't just a job - it's an opportunity to be a part of something bigger. If you're ready to play a key role in the evolving world of investments, we'd love to hear from you.
Additional Information
At IQ EQ Group Management (Isle of Man) Limited 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.
At IQ EQ Group Management (Isle of Man) Limited, we're excited to welcome a new Assistant Manager in Regulatory Compliance to our dynamic Risk & Compliance team! Situated in our vibrant office on Victoria Road, Douglas, the ideal candidate will be meticulous, proactive, and have a knack for fostering collaboration across various business areas. In this pivotal role, you’ll not only uphold the high standards of the IQ EQ brand but also help create a culture committed to operational excellence and outstanding client service. Do you have a background in a Fiduciary environment? If so, your expertise will be invaluable here! You will be supporting compliance initiatives, mentoring team members, and ensuring our processes align with legal requirements, all while contributing to the strategic goals of our organization. The diverse responsibilities will range from monitoring compliance to managing regulatory registers, as well as liaising with auditors and regulators. The collaborative environment encourages personal and professional growth, and you'll be part of a team that genuinely cares about your continued development. Step into a role where your attention to detail will shine, and enjoy the benefits of a hybrid working model, employee referral schemes, and a supportive workplace culture. If you're ready to immerse yourself in an engaging, challenging, and meaningful journey, the Assistant Manager position at IQ EQ Group is where you need to be!
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Our mission is to be the best we can be for our clients but equally important for our people. Our culture allows people to grow, express themselves and be authentic. We provide opportunities so you can build connections and develop your career i...
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