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A leading Investor Services group in Northern Ireland is seeking a Compliance Officer to ensure adherence to regulatory standards. The role involves developing compliance frameworks, preparing reports for the Risk & Compliance Committee, and fostering a compliance-focused culture. Candidates should have over 4 years of experience in financial services and possess strong communication and organizational skills. This position emphasizes personal accountability and collaboration in a hybrid work environment.
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.
Job DescriptionThe role holder will be responsible for supporting the effective operation of the second line of defence, ensuring that the regulatory risk and compliance framework across IQ EQ Depositary Company (UK) Limited (“the DepCo”) is implemented, maintained, and continuously improved. This includes identifying gaps, weaknesses, and emerging risks through regular monitoring activities, which serve as an early warning mechanism. Based on these findings, the role holder will prepare recommendations for consideration by the Compliance Officer and/or Risk & Compliance Committee.
They will ensure that all regulatory obligations - including but not limited to CASS, COBS, and SYSC - are clearly documented and that relevant reporting requirements are met in a timely and accurate manner.
The role holder will support the work of the Board-delegated Risk & Compliance Committee for the DepCo by contributing to the preparation of reports, analysis, and insights on key risk and compliance matters. This includes gathering relevant data, identifying trends or areas of concern, and helping to shape the content of materials presented to the Committee in line with its Terms of Reference.
The role holder will support the day-to-day execution of the business’s AML obligations. This includes assisting with AML-related reporting, contributing to the New Business Acceptance process, and supporting ongoing monitoring activities to ensure compliance with regulatory expectations.
The role will also support business operations by reviewing and approving client operational risk assessments at onboarding and during periodic reviews, as well as advising on key risk areas across other core operational functions.
The role holder will support the delivery of a robust and evolving training framework focused on continuous improvement and accountability. This includes contributing to the development and maintenance of training content grounded in core regulatory requirements and informed by ongoing horizon scanning to ensure the programm remains current and relevant.
The role holder will support efforts to embed a strong compliance culture across the business, with a particular focus on promoting awareness and understanding of the Conduct Rules and individual accountability. This includes contributing to initiatives that reinforce the importance of ethical behavior and regulatory responsibility at all levels.
On a day-to-day basis the role holder will be expected to carry out the following:
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.