Officer 3, Regulatory & Compliance

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 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 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. 

We’re driven by our Group purpose, to power people and possibilities. 

Job Description

Role Officer 3, Regulatory & Compliance

Office: GCD

Department: Regulatory Reporting

Reports to: Manager, Regulatory Reporting Manager

Overview

• The Analyst is responsible for supporting the preparation and completion of regulatory reporting deliverables for allocated clients, ensuring outputs are completed accurately, on time and in accordance with established procedures, regulatory requirements and client expectations.
• The role is delivery-focused in nature and supports the wider Regulatory Reporting team through timely execution, accurate documentation, data validation and escalation of issues where appropriate.
• The Analyst will work closely with onshore stakeholders and wider operational teams to ensure reporting deadlines are met and outputs are delivered to a high standard within a controlled and scalable operating model.

Responsibilities

• Support the preparation and completion of regulatory reporting deliverables for allocated clients in line with agreed timetables, internal controls and reporting requirements.
• Work with data received from internal teams, clients and third parties, performing checks and reconciliations to ensure information is complete, accurate and suitable for reporting purposes.
• Identify exceptions, discrepancies or missing information and escalate these promptly where required.
• Maintain complete and accurate workpapers, supporting evidence and records to support audit readiness and procedural compliance.
• Collaborate with colleagues across departments and locations to support the timely completion of deliverables and resolution of issues.
• Support the ongoing enhancement of workflows, templates and process documentation to improve efficiency, quality and consistency across the team.

Tasks (what does the role do on a day-to-day basis)

• Prepare regulatory reporting outputs for allocated clients in accordance with internal procedures and reporting calendars.
• Perform data collation, validation and reconciliation across multiple data sources.
• Review inputs for completeness, consistency and reasonableness, highlighting exceptions or anomalies.
• Maintain accurate and complete supporting files and evidence for all deliverables.
• Track progress of allocated deliverables and ensure workflow tools are updated on a timely basis.
• Escalate issues, delays or risks to the appropriate reviewer or manager in a timely manner.
• Support the maintenance and enhancement of procedures, checklists and operating guidance.
• Assist with onboarding new clients, new funds and new reporting obligations as required.
• Support management information, reporting metrics and process analysis where requested.
• Participate in training, knowledge sharing and team initiatives to support capability development.
• Undertake other ad hoc tasks or project work as required in support of the Regulatory Reporting function.

Key Skills

• Strong attention to detail and ability to work accurately under time pressure.
• Good analytical and problem-solving skills.
• Ability to follow procedures and apply a strong control-focused mindset.
• Effective written and verbal communication skills.
• Ability to manage multiple deliverables and competing deadlines.
• Strong organisational skills and a proactive approach to issue identification and escalation.
• Good working knowledge of Microsoft Excel and other Microsoft Office applications.
• Ability to work collaboratively with colleagues across locations and functions.

Qualifications

Experience

Essential:

• Experience working to deadlines and producing accurate deliverables.
• Experience working with data, reconciliations and process-driven tasks.

Preferred:

• Exposure to AIFMD Annex IV or other regulatory reporting frameworks.
• Experience working in a Global Center of Delivery / shared services / offshore support environment.
• Experience working with workflow tools, reporting systems or process tracking tools.
• Degree in accounting, finance, business or another relevant discipline.
• Experience in financial services, fund administration, regulatory reporting, depositary, compliance operations or a similar environment.

Key behaviours we expect to see

• In addition to demonstrating our Group Values, the role holder will be expected to demonstrate strong collaboration, accountability, sound decision making, stakeholder management, a drive for results, continuous improvement and a commitment to quality and control.
   

Additional Information

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 6,500+ employees - from 94 nationalities, across 24 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 lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.