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
Responsibilities (how we will measure success)
To provide support for the Group’s Regulatory horizon scanning strategy and arrangements throughout the business.
The role holder will be responsible for working with the Team Lead of the Horizon Scanning Team and the Group Head of Compliance (GHC), to support the development and ongoing maintenance of the Group’s horizon scanning activities, including reporting up to the Group Horizon Scanning Forum (GHSF).
The GHSF aims to -
- Identify future developments (emerging opportunities and threats), and its driving forces, in areas that are of strategic, operational, regulatory, and reputational importance to the Group,
- Understand gaps in current Group policy or strategy in relation to areas of emerging opportunities and threats,
- Establish resilient new strategy in response to emerging opportunities and threats, creating an adaptable environment to changing external conditions, and
- Build consensus across the Group on how to tackle emerging opportunities and threats and mobilise key stakeholders to action.
Why IQEQ (what you can expect from us)
This is an exciting time to join IQ-EQ, one of the largest investor service companies in the world. The role will be part of a growing team at GRC, at a time of significant expansion across IQ-EQ and will present a fantastic opportunity to learn and support the business at a crucial point in its journey.
You will be based in our newly opened IQ-EQ India offices and will be part of IQ-EQ’s ambitious growth strategy in India and beyond.
In this role, you will have regular access to senior stakeholders withing Group Risk and Compliance, and local risk & compliance professionals across multiple locations, thus giving you an excellent opportunity to develop professional relationships across IQ-EQ at an early stage in your career.
Tasks (what does the role do on a day-to-day basis)
Be responsible for the systematic examination of regulatory, political, and business market information, utilizing online research methods, to identify emerging risks and opportunities relevant to IQ-EQ.
This work will include, but not be limited to the following:
- Provide Horizon Scanning coverage of key business segment areas within IQ-EQ, utilizing the Horizon Scanning model adopted by the GHSF. The business segments areas are - Funds and Institutional Services, Private Wealth Management Services, Corporate Services, and Capital Markets Services,
- Timely identification of new regulatory and legislative changes, enabling better risk management and regulation management of regulatory developments.
- Assess and examine the internal risk and external commercial impact of regulatory and legislative developments and create briefing papers for Key Stakeholders,
- Maintain and update the GHSF Tracker and meeting schedule, including additional drop-in sessions with commercial business development team,
- Support the development of a core set of procedures and template forms to help embed and ensure consistent coverage of horizon scanning activities and communication to GHSF and other key stakeholders, including quarterly reporting to senior management via GMT and GRACC,
- Act as support for the GHSF, local Compliance Officers and the commercial business development teams in the Group (“Key Stakeholders”), providing advice and information analysis support, on matters covered by the Horizon Scanning Team,
- Assist the Group Head of Compliance in liaising with the broader GRC Team, to identify new regulatory and legislative developments, in specific subject matter areas of –
- Financial Crime Compliance
- Regulatory Compliance
- ESG Compliance
- Data Protection Compliance
- AI and Information Security Compliance
Key competencies for position and level
- Solution orientated approach to issue resolution,
- High level of understanding of financial regulations, compliance frameworks and robust risk management measures,
- Hands on and collaborative approach, with an independence of mind and sound professional judgement,
- Resilience – ability to work and adapt in a fast paced, demanding and highly complex regulatory and commercial environment.
Key behaviours we expect to see
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Strong research and analytical skills, good attention to detail and ability to present complex technical information succinctly and clearly.
- Self-motivating and able to work under own initiative and in a fast paced, high-pressured environment.
- Hard-working, reliable, and supportive.
Qualifications
Required Experience
Education / professional qualifications
- Law / Financial Regulations / Equivalent Education – LLB, LLM, LLB with Finance, LLM with Banking etc.
Background experience
- A minimum of 3-4 years of experience in an investment management firm / Regulatory Research Experience/ Global Investment Banking/Risk and Compliance Consulting
Technical
- Experience of online research of regulatory development and ability to cover multiple regulatory jurisdictions;
- Experience of managing and developing R&C subject matter notes, commercial briefing papers and training content.
Computer / program knowledge
- Expertise in standard Microsoft Office products.
- Experience in content-management tools.
Management and leadership
- No management responsibilities in the role.
Languages
