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, and continuous improvement of the AR monitoring framework, in line with Firm-level and IQ-EQ Group policies and procedures.
What you'll do
- 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: 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.