Compliance Monitoring Associate

Posted 15 September by IQ EQ

Company Description

Lawson Conner is a provider of outsourced compliance solutions and software that help businesses navigate regulatory infrastructure, reporting and risk requirements amidst variations in regulations under a global digital landscape. In 2018, it became part of IQ-EQ, the world’s fourth-largest global investor services group (by revenue) that combines global expertise with a focus on client service delivery.

Job Description

Based in the Newcastle office, you will work alongside a Compliance Manager in an exciting and varying work environment. This role is diverse and will transcend a number of areas in compliance, with a focus on Compliance Monitoring across a portfolio of Appointed Representatives and for the Principal Firms within the Lawson Conner group of companies.

What is an Appointed Representative:

An FCA Appointed Representative is a firm or individual that does not hold authorisation from the FCA but instead acts under the authority of an authorised firm’s authorisation known as the principal firm.

Day-to-day as Compliance Monitoring Associate:

  • Perform monitoring of Appointed Representatives and Principal Firm’s activities, according to the Compliance Monitoring Plan.
  • Perform monitoring of financial products / services.
  • Review systems and controls in respect of conduct risk and regulatory risks
  • Undertaking monitoring reviews, including Office Visits and investigation of breaches
  • Production of monitoring reports for Senior Management and Appointed Representatives.
  • Assisting Compliance Managers/ Directors on projects within Compliance


  • A-level and Bachelors degree preferred (Economics, Law, Business), or equivalent professional experience
  • Strong communication skills, written and verbal
  • Demonstrable experience within an FCA regulated services firm, within a Compliance function
  • Excellent client facing skills and interpersonal communication skills
  • Excellent user of Microsoft Office
  • Experience of working to tight deadlines
  • Strong organisational skills
  • Excellent communication skills both written and spoken
  • Desire to work in an dynamic, fast-growing company environment with blue-chip clients

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.

Reference: 40873471

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