At a Glance
- Tasks: Lead compliance projects, mentor staff, and manage regulatory risks.
- Company: Join IQ-EQ, a top Investor Services group with a global presence.
- Benefits: Enjoy flexible working, generous leave, health perks, and career development.
- Other info: We prioritise sustainability and diversity, supporting employees from 94 nationalities.
- Why this job: Make an impact in a dynamic environment while fostering collaboration and innovation.
- Qualifications: Background in investment management; professional qualifications preferred.
The predicted salary is between 43200 - 72000 £ per year.
Regulatory & Investment Compliance Manager
Job Description
Are you ready to make an impact in a dynamic regulatory environment? We\'re looking for a driven and detail-oriented professional to join our Regulatory Compliance (RegHosting) team as part of the Technical Advisory function.
In this pivotal role, you’ll take ownership of key responsibilities within the Technical Advisory Team, ensuring compliance excellence across our Principal Firms. Reporting directly to the Head of Technical Advisory, you\'ll also offer vital support across team projects and initiatives.
If you\'re passionate about regulatory frameworks and thrive in collaborative, high-stakes settings, this could be your next great opportunity.
What you\'ll do
- Lead Advisory Projects & Deliverables : Take ownership of assigned tasks and drive execution of the Technical Advisory Team’s business plan, including compliance manual updates and principal firm recommendations.
- Mentor & Train Staff : Support and coach colleagues on technical compliance matters, lead internal training sessions such as Zing rollouts and Virtual Coffee, and act as a subject matter expert for FCA/SEC regulatory changes.
- Regulatory Intelligence & Horizon Scanning : Track upcoming regulatory developments, lead the Horizon Scanning Working Group, and assist in translating changes into policy, guidance, and training.
- Oversight & Risk Management : Manage the issues and breaches framework, contribute to committees including AR Oversight, AIF Oversight, and Risk & Valuation, and support the development of conduct risk and consumer duty policies.
- Stakeholder Collaboration & Reporting : Build strong relationships across RegHosting and IQ-EQ, contribute to cross-firm initiatives, handle complaints resolution, and prepare management information for senior governance committees.
What we offer
- Competitive remuneration package based on market rates, qualifications, experience, and skills
- Generous pension scheme with employer contributions and options for increased employee contributions
- Wellbeing benefits including private health and dental cover, life assurance, discounted gym membership, eye tests, and access to a corporate GP
- 25 days paid annual leave plus UK public holidays; enhanced maternity, paternity, shared parental, and adoption leave
- Flexible working arrangements to support work-life balance
- Comprehensive training, tools, and development plans for career growth
Qualifications
- Solid background in investment management, liquid assets trading, venture capital, or private equity
- Professional qualifications such as the Investment Management Certificate (IMC) are preferred
- Highly organized, methodical, and detail-oriented
- Strong service mentality with an understanding of regulatory boundaries and risk management
- Ability to build effective relationships across stakeholder groups
- Technical knowledge of regulatory topics and problem-solving skills
- Collaborative approach to resolving challenges and supporting internal and client needs
Additional information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
We prioritize sustainability, building long-term relationships with stakeholders, and reducing our environmental impact. Our culture promotes diversity, equity, and inclusion, supported by our DEI steering committee.
Our learning and development programmes, hybrid working model, and global diversity enable employees from 94 nationalities speaking 41 languages across 25 countries to thrive. We support women managers launching their first funds through IQ-EQ Launchpad, aiming for gender balance in private equity and venture capital.
We are dedicated to long-term client relationships, understanding that our clients\' success reflects our own.
Company description
ABOUT IQ-EQ
We are a leading Investor Services group providing comprehensive services in administration, accounting, reporting, regulatory, and compliance across the investment sector worldwide.
With over 5,800 employees across 25 jurisdictions and assets under administration exceeding US$750 billion, we serve 13 of the top 15 private equity firms globally.
Our commitment to ESG and technology, including a global data platform and proprietary tools, underpins our service delivery.
What sets us apart is our people. We act as trusted partners to our clients, delivering innovative solutions through expertise and strong relationships.
At IQ-EQ UK, we have been recognized as a great workplace, fostering an environment where potential is nurtured, individuality celebrated, and careers flourish. Loving where you work is fundamental to us.
#J-18808-LjbffrRegulatory & Investment Compliance Manager in Newcastle upon Tyne employer: IQ-EQ Group
At IQ-EQ, we pride ourselves on being an exceptional employer, offering a competitive remuneration package and a generous pension scheme alongside comprehensive wellbeing benefits. Our inclusive work culture fosters collaboration and personal growth, with extensive training and development opportunities tailored to help you thrive in your career. Located in a dynamic regulatory environment, we support flexible working arrangements and are committed to sustainability, making us a rewarding place for professionals passionate about compliance and investment management.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory & Investment Compliance Manager in Newcastle upon Tyne
✨Tip Number 1
Familiarise yourself with the latest regulatory frameworks relevant to investment compliance. Being well-versed in FCA and SEC regulations will not only boost your confidence but also demonstrate your commitment to staying updated in this dynamic field.
✨Tip Number 2
Network with professionals in the regulatory compliance space. Attend industry events or webinars where you can meet potential colleagues and learn about their experiences. Building these connections can provide valuable insights and may even lead to referrals.
✨Tip Number 3
Showcase your mentoring and training skills by volunteering to lead discussions or workshops on compliance topics. This will highlight your leadership abilities and your passion for sharing knowledge, which is crucial for the role.
✨Tip Number 4
Prepare to discuss specific examples of how you've managed compliance issues or contributed to risk management in previous roles. Having concrete stories ready will help you illustrate your problem-solving skills and your ability to work collaboratively in high-stakes environments.
We think you need these skills to ace Regulatory & Investment Compliance Manager in Newcastle upon Tyne
Some tips for your application 🫡
Tailor Your CV:Make sure your CV highlights relevant experience in regulatory compliance, investment management, and any specific qualifications like the Investment Management Certificate (IMC). Use keywords from the job description to demonstrate your fit for the role.
Craft a Compelling Cover Letter:In your cover letter, express your passion for regulatory frameworks and detail how your skills align with the responsibilities outlined in the job description. Mention specific projects or experiences that showcase your ability to lead advisory projects and mentor staff.
Showcase Your Technical Knowledge:Emphasise your understanding of regulatory topics and risk management in both your CV and cover letter. Provide examples of how you've successfully navigated regulatory changes or contributed to compliance initiatives in previous roles.
Highlight Collaborative Experiences:Since the role involves stakeholder collaboration, include examples of how you've built effective relationships across teams or departments. This could be through leading training sessions or participating in cross-firm initiatives.
How to prepare for a job interview at IQ-EQ Group
✨Understand Regulatory Frameworks
Make sure you have a solid grasp of the regulatory frameworks relevant to the role. Familiarise yourself with FCA/SEC regulations and be prepared to discuss how they impact compliance practices.
✨Showcase Your Project Management Skills
Be ready to talk about your experience in leading advisory projects. Highlight specific examples where you've taken ownership of tasks and driven successful outcomes, especially in compliance manual updates or team initiatives.
✨Demonstrate Mentoring Experience
Since mentoring is a key part of this role, prepare to share instances where you've trained or supported colleagues. Discuss your approach to coaching others on technical compliance matters and how you’ve facilitated training sessions.
✨Build Relationships
Emphasise your ability to build strong relationships across various stakeholder groups. Be ready to provide examples of how you've collaborated with teams to resolve issues or contribute to cross-firm initiatives.
