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For Companies At a Glance
- Tasks: Oversee a portfolio of Appointed Representatives and ensure regulatory compliance.
- Company: Join a leading Investor Services group with a global presence.
- Benefits: Competitive salary, health cover, flexible working, and 25 days annual leave.
- Why this job: Make a real impact in compliance while working with top private equity firms.
- Qualifications: 5+ years in compliance, strong knowledge of FCA regulations, and excellent relationship management skills.
- Other info: Dynamic work environment with a commitment to sustainability and employee development.
The predicted salary is between 36000 - 60000 £ per year.
IQ-EQ is 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; we operate as trusted partners to our clients and deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
What You'll Do
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
- Continuous improvement of the AR monitoring framework, in line with Firm-level and IQ-EQ Group policies and procedures
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: Private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
- Annual leave: 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 are open to conversations with employees related to setting up flexible working arrangements
- Support and development: Training, tools and development plans to grow and improve your skills every day
Qualifications
- 5+ years’ broad-based experience in a compliance role within a financial services firm, with strong exposure to compliance monitoring activities
- Thorough understanding of the Appointed Representative and Principal Firm model and associated regulatory obligations
- Strong technical knowledge of FCA regulatory frameworks relevant to authorised firms, particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements
- Experience managing or overseeing teams, with the ability to provide guidance, conduct quality assurance reviews, support issue resolution, and drive performance improvement
- Excellent stakeholder and relationship management skills, including conflict resolution, with confidence presenting reports and management information to senior management and committees
- 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 Information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT. Sustainability is integral to our strategy and operations. We are committed to fostering an inclusive, equitable and diverse culture for our people. Our learning and development programmes and systems enable us to invest in growing our employees’ careers, while our hybrid working approach supports balance and flexibility. We have 5,800+ employees across 25 countries and 94 nationalities, and we support women managers through initiatives like IQ-EQ Launchpad. We are dedicated to growing relationships with our clients and supporting them in achieving their objectives.
AR Oversight Manager employer: IQ-EQ
Contact Detail:
IQ-EQ Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land AR Oversight Manager
✨Tip Number 1
Network like a pro! Reach out to people in the industry, attend events, and connect on LinkedIn. You never know who might have the inside scoop on job openings or can put in a good word for you.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. Understand their values and how they align with your own. This will help you stand out as a candidate who truly gets what they're about.
✨Tip Number 3
Practice your responses to common interview questions, but keep it natural. Use the STAR method (Situation, Task, Action, Result) to structure your answers and showcase your experience effectively.
✨Tip Number 4
Don’t forget to follow up after your interview! A simple thank-you email can leave a lasting impression and show your enthusiasm for the role. Plus, it keeps you on their radar!
We think you need these skills to ace AR Oversight Manager
Some tips for your application 🫡
Tailor Your Application: Make sure to customise your CV and cover letter to highlight your experience in compliance and oversight. We want to see how your skills align with the AR Oversight Manager role, so don’t hold back on showcasing your relevant achievements!
Showcase Your Technical Knowledge: Since this role requires a solid understanding of FCA regulatory frameworks, be sure to mention any specific regulations you’ve worked with. We love seeing candidates who can demonstrate their expertise in areas like SYSC, COBS, and MiFID.
Highlight Relationship Management Skills: As a key relationship manager, your ability to build strong connections is crucial. Share examples of how you've successfully managed stakeholder relationships or resolved conflicts in previous roles. We’re all about collaboration here at StudySmarter!
Apply Through Our Website: We encourage you to submit your application through our website for the best chance of being noticed. It’s the easiest way for us to keep track of your application and ensure it gets into the right hands!
How to prepare for a job interview at IQ-EQ
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of FCA regulatory frameworks, especially those relevant to investment businesses. Being able to discuss SYSC, COBS, AIFMD, and MiFID confidently will show that you’re not just familiar with the terms but understand their implications in real-world scenarios.
✨Showcase Your Relationship Management Skills
Since this role involves a lot of stakeholder interaction, prepare examples of how you've successfully managed relationships in the past. Think about times when you resolved conflicts or presented reports to senior management. This will demonstrate your ability to handle the interpersonal aspects of the job.
✨Be Organised and Detail-Oriented
Highlight your project management skills and your knack for documentation and record-keeping. Bring examples of how you’ve maintained high standards in these areas, as they are crucial for ensuring compliance and effective oversight of Appointed Representatives.
✨Prepare for Quality Assurance Discussions
Since quality assurance is a key part of the role, be ready to discuss your experience in conducting reviews and driving performance improvements. Think of specific instances where your input led to better outcomes, and be prepared to share how you would implement QA frameworks in this new position.
