AR Oversight Manager

Overview

IQ-EQ is 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 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US $750 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; we operate as trusted partners to our clients and deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.

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.

• 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.

• 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:
  Private health and dental cover, life assurance, discounted gym membership, eye test and corporate GP
• Annual leave: 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 are open to conversations with employees related to setting up flexible working arrangements
• Support and development:
  Training, tools and development plans to grow and improve your skills every day

• 5+ years’ broad-based experience in a compliance role within a financial services firm, with strong exposure to compliance monitoring activities
• Thorough understanding of the Appointed Representative and Principal Firm model and associated regulatory obligations
• Strong technical knowledge of FCA regulatory frameworks relevant to authorised firms, particularly investment businesses, including SYSC, COBS, AIFMD, MiFID, and FCA FUND requirements
• Experience managing or overseeing teams, with the ability to provide guidance, conduct quality assurance reviews, support issue resolution, and drive performance improvement
• Excellent…