Principal Consultant

Company Description

IQ-EQ is 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

Office: London or Newcastle

Department: Compliance Consulting

Reports to: A Director of Compliance Consulting

What You\’ll Do –

• The Principal Consultant will successfully motivate and lead, be responsible for the development of client relationships and the development and oversight of junior colleagues.
• The Principal Consultant will be tasked with effectively delivering compliance monitoring programme assessments, drafting and reviewing policy and procedure reviews, drafting and overseeing the preparation of reports and manuals to reinforce regulatory requirements, and providing compliance advice to client firms.
• The individual in this position is also required to possess a level of business acumen to identify and share opportunities for service growth and business development.
• They will oversee a portfolio of Firms providing ongoing compliance support and undertake CRM meetings and addressing client feedback and ensure market leading support is provided to clients throughout.
• A team-oriented individual, looking to further their career in a fast-growing business line.
• Provide responsive and relevant regulatory advice and solutions;
• Update clients on regulatory changes and how it impacts their business;
• Draft manuals and other compliance documentation for clients;
• Set up relevant policies, procedures and working documentation for clients;
• Work with clients to devise bespoke risk-based monitoring programmes;
• Carry out regular compliance monitoring visits onsite with clients, and subsequently write up working papers and compliance monitoring reports;
• Involvement in designing / running training courses;
• Build, manage and develop client relationships;
• Lead all aspects of compliance programme, including overseeing and reviewing the work of project team members;
• Act as internal and external subject matter expert on compliance matters relevant to clients;
• Perform a broad scope of work during reviews of largest and most complex clients, and to guide, coordinate and consolidate the work of colleagues during these reviews;
• Identify, manage and/or support projects and internal initiatives (e.g., draft articles for industry publications, participate in sales, conduct or oversee research);
• Supervise, train, evaluate, oversee, and provide feedback to junior colleagues;
• Develop and implement strategic plans to expand the compliance consulting service offerings;
• Collaborate with other departments to ensure a holistic approach to client service delivery;
• Represent the company at industry events and conferences to enhance brand visibility and thought leadership;
• Conduct periodic risk assessments of the compliance consulting practice and implement necessary improvements.

Qualifications

• Experience in compliance consultancy or relevant regulated firms, preferably with competitors such as ACA Compliance (Europe), Bovill Ltd, or Duff & Phelps
• Strong technical knowledge of FCA regulations and the FCA Handbook
• Practical understanding of the financial services industry, focusing on asset management, sell-side, or banking
• Excellent oral and written communication skills
• Bachelors degree or CISI Diploma (or equivalent industry experience)
• Proficiency in Microsoft Office suite (Word, Excel, PowerPoint)
• Management and leadership experience

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.

Additional Information

At IQ-EQ 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.

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