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:
The Associate Manager assists and supports the Operational Compliance to provide a centralized compliance services to IQ-EQ clients.
Tasks:
Assist the Manager in –
- Ensuring that all regulatory approvals are processed and up to date
- re-assessing the Code of Business Conduct and Corporate Governance frameworks for specific clients
- conducting client file review
- conducting bank transaction monitoring
- Assist to monitor remediation or findings relating to CDDs.
- Review Compliance issues leading to Disengagement of a client
- Work closely with the team to –
- ensure that relevant processes are adhered to and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ
- conduct Enhanced Due Diligence (EDD) for PEP and REP and World checks for clients
- monitor progress on findings on Power APPs
- Work on MLRO/Compliance Reports to be tabled at the board meetings of the client companies;
- Work with the team on Administrators Compliance Reports and Periodic Reviews
- Assist the Manager on Operational Compliance team’s work and assignment as well as in building capabilities within the team
- Train and coach team members so that they are well aware of all the processes and their responsibilities
- Conduct Staff Appraisals and recommend career development plan
Key competencies for position and level:
- Collaborative Relationships
- Deliver Consistent Results
- Engages and Develops team members
- Driving Business Growth
- Inspires and Mobilizes Teams
- Navigates Complex Challenges
Key behaviors 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:
- Accuracy
- Approachability
- Attention to detail
- Prioritization
- Proactivity
- Relationship Building
- Taking ownership
Qualifications
Education / professional qualifications:
- Degree holder in Law or any other relevant field
- Fully masters the understanding of FSA, Securities Act, FIAML and FIAMLR
Background experience:
- Minimum 5 years experience in the financial services sector preferably in Compliance or Operations
Others:
- Excellent at Excel, word and PowerPoint
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.
What We Do
We are IQ-EQ, a leading investor services group employing 4300+ people across 24 jurisdictions worldwide. We bring together that rare combination of global technical expertise and a deep understanding of our clients' needs.
We have the know how and the know you to deliver for our clients - fund managers, multinational companies, family offices and private clients operating worldwide.
