Associate Manager - Investor Services deals with day to day complex client issues and demands of the Investor Services function, related to each type of fund structure (OE and CE) as serviced by IQ-EQ. The Associate Manager - Investor Services reviews the work of Investor Services Officer in order to ensure the smooth flow in the operations and meeting client's expectations and coaching of junior staff.
- Coach staff on the job on the processes, standards and system in place.
- Ensure that work delivered for clients is compliant with IQ-EQ compliance manuals, and the local regulatory framework.
- Following the core business processes as defined and help improving such processes on an ongoing basis.
- Provide Support to the Investor Services Officer.
- Provide input to the appraisal of people.
- Review the work of the Investor Services Officer prior to handing over internally or to clients.
- Communicate with clients and investors on a day to day basis concerning ongoing work.
- Review investors details required for FATCA/CRS and ensure that they are complete and reporting is completed in line with revenue requirements and as per agreed deadline.
- Ensure that trade orders, settlement, subscription, redemption documents, capital calls are accurate.
- Monitor the Subscription process and ensure that subscriptions are correctly reported to new investors.
- Work closely with Investor Services Officers on complex matters regarding Customer Due Diligence on new investors, transfer of Shares, subscription and redemption process.
- Ensure necessary approval is obtained as per Compliance Internal procedures for Omnibus accounts, PEPs and REPs.
- Ensure accuracy of all reporting to be carried out by the Investor Services officer.
- Ensure all reporting, both internal and to the group deadlines, are adhered to.
- Flag client issues before they become a complaint.
- Investors Reporting (OE & CE).
- Ensure protections of information assets of IQ-EQ MU and to abide by the ISMS in place at IQ-EQ MU.