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.
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
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.
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