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- Tasks: Lead compliance projects, mentor staff, and manage regulatory changes in a dynamic environment.
- Company: Join IQ-EQ, a top Investor Services group with a global presence and a commitment to sustainability.
- Benefits: Enjoy flexible working, generous leave, health benefits, and a supportive development culture.
- Why this job: Make an impact in compliance while collaborating with diverse teams in a recognised great workplace.
- Qualifications: Background in investment management or related fields; relevant qualifications preferred.
- Other info: Be part of a diverse team committed to sustainability and employee growth.
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 –
- 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 bring a solid background in investment management, liquid assets trading, venture capital, or private equity—this expertise sets you up for success in this role.
- You ideally hold qualifications such as the Investment Management Certificate, reflecting your professional development.
- You’re highly organised, methodical, and detail-oriented, ensuring nothing slips through the cracks.
- You have a strong service mentality and understand how to support the business pragmatically while respecting regulatory boundaries and risk appetite.
- You build and maintain effective relationships across diverse stakeholder groups, using these connections to advance strategic initiatives.
- You earn trust through your technical knowledge of regulatory topics and contribute meaningfully to solving complex issues.
- You collaborate thoughtfully with others, resolving challenges in a collegiate way that supports both internal needs and client outcomes.
Additional information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
As 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.
Company description
ABOUT IQ-EQ
We’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.
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Regulatory & Investment Compliance Manager employer: IQ-EQ Group
Contact Detail:
IQ-EQ Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory & Investment Compliance Manager
✨Tip Number 1
Familiarise yourself with the latest regulatory frameworks relevant to investment compliance. This will not only help you in interviews but also demonstrate your proactive approach and genuine interest in the field.
✨Tip Number 2
Network with professionals in the regulatory and investment compliance sector. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in the field.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance issues or led training sessions in your previous roles. This will showcase your hands-on experience and ability to mentor others.
✨Tip Number 4
Research IQ-EQ's values and commitment to sustainability and diversity. Be ready to articulate how your personal values align with theirs, as cultural fit is often a key consideration in hiring decisions.
We think you need these skills to ace Regulatory & Investment Compliance Manager
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in investment management, compliance, and regulatory frameworks. Use specific examples that demonstrate your expertise in these areas.
Craft a Compelling Cover Letter: In your cover letter, express your passion for regulatory compliance and detail how your skills align with the responsibilities of the Regulatory & Investment Compliance Manager role. Mention any relevant qualifications, such as the Investment Management Certificate.
Showcase Your Soft Skills: Emphasise your organisational skills, attention to detail, and ability to build relationships with stakeholders. Provide examples of how you've successfully collaborated with teams or resolved complex issues in previous roles.
Proofread and Edit: Before submitting your application, thoroughly proofread your documents for any spelling or grammatical errors. A polished application reflects your professionalism and attention to detail, which are crucial for this role.
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 and SEC regulations, as well as any recent changes that may impact the business. This knowledge will demonstrate your commitment and expertise during the interview.
✨Showcase Your Project Management Skills
Be prepared to discuss your experience in leading advisory projects and managing deliverables. Highlight specific examples where you've successfully driven compliance initiatives or updates, as this will show your ability to take ownership and lead effectively.
✨Emphasise Collaboration and Relationship Building
Since the role involves working closely with various stakeholders, be ready to share examples of how you've built strong relationships in previous roles. Discuss how you’ve collaborated with teams to achieve common goals, as this will highlight your interpersonal skills.
✨Prepare for Technical Questions
Expect to face technical questions related to investment management and compliance. Brush up on your knowledge of risk management frameworks and conduct policies, and be ready to discuss how you would approach these topics in practice.
