The Associate – Operational Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralised compliance services to IQ-EQ MU’s clients.
- Assist the Associate Manager/Officers in –
- Ensuring that all regulatory approvals are processed and up to date
- Preparing re-assessment reports for the AML/CFT and Corporate Governance frameworks for specific clients
- Conducting client file review of less complex structures
- Conducting risk profiling of client companies as appropriate
- Preparing re-assessment reports of Code of Business Conduct
- Work under the supervision of the Associate Manager and Officers 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 Customer Due Diligence on the principals of client companies
- Conduct Enhanced Due Diligence (EDD) for PEP and REP
- Assist delivery team by conducting World checks/ internet checks for clients
- Assist the Associate Manager and the Officers to work on Administrators Compliance Reports and Periodic Reviews for high/ medium and low risk clients
- Ensure protections of information assets of IQ EQ MU and to abide by the ISMS in place at IQ EQ MU.