Job Description
You will join a specialist and growing RegCom team, playing a key role in delivering high-quality operational and vendor due diligence services to asset managers and investor clients. You will lead and support operational due diligence reviews, vendor due diligence assessments, and AML due diligence, while also supporting regulatory compliance reporting and oversight activities for FCA-regulated firms. This is a hands-on role offering strong exposure to asset management operations, regulation, and best practice standards.
What you'll do
* You will lead and contribute to operational due diligence reviews, assessing fund managers’ internal operations across governance, investment management, fund operations, risk management, compliance, IT, HR, and ESG controls
* You will review documentation, assess written controls against regulatory requirements and industry best practices, and produce detailed, independent due diligence reports using IQ-EQ’s proprietary methodology and technology platform
* You will participate in and lead on-site due diligence meetings with fund managers, including interviews with senior management and operational teams
* You will manage and deliver vendor and third-party due diligence reviews, assessing delegated controls such as AML, data protection, and risk management frameworks
* You will perform annual updates to existing operational due diligence reports and update templates to reflect new regulatory rules and evolving best practices
* You will conduct AML and KYC due diligence reviews where required and support principal consultants with regulatory compliance reporting and oversight for FCA-registered firms
* You will contribute to wider compliance consulting services for a broad portfolio of clients and support the continued growth and development of the due diligence offering
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 have experience in operational due diligence, asset management operations, compliance, professional services, audit, or compliance consulting
* You have experience leading or contributing to due diligence reviews and are comfortable engaging directly with fund managers and service providers
* You have a strong working knowledge of FCA, AIFMD, and preferably SEC regulatory requirements
* You have excellent communication and stakeholder management skills with a proactive and client-focused approach
* You have a background in compliance, legal, corporate structuring, or asset management operations which enables you to assess complex control frameworks
* You have a bachelor’s degree or professional qualification such as a CISI Diploma
* You have strong technical skills in regulatory compliance and reporting and are confident using Microsoft Excel, Word, and PowerPoint
Additional Information
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining 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 5,800+ employees - from 94 nationalities, 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 relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.