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Job Description
The Associate Executive – Operational Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralised compliance services to IQ-EQ MU’s clients.
Tasks
- 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.
Qualifications
Education / professional qualifications
- Degree holder in Law or any other relevant field
Background experience
- Minimum 1 year experience in the financial services sector preferably in compliance or Operation
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.
Key competencies for position and level
- Communicates Effectively
- Effective Team Player
- Demonstrates Resilient
- Plans and Aligns
- Organisation Savvy
- Embodies our ABC values: Authentic, Bold, and Collaborative.
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Customer Focus - Building strong customer relationships and delivering customer-centric solutions.
- Interpersonal Savvy - Relating openly and comfortably with diverse groups of people.
- Plans & Aligns - Planning and prioritizing work to meet commitments aligned with organisational goals.
- Communicates Effectively - Developing and delivering multi-mode communications that convey a clear understanding of the unique needs of different audiences.
- Manages Conflict - Handling conflict situations effectively, with a minimum of noise.
- Self-Development - Actively seeking new ways to grow and be challenged using both formal and informal development channels.
- Organizational Savvy - Manoeuvring comfortably through complex policy, process and people-related organisational dynamics.
- Demonstrates Self-Awareness - Using a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.
- Action Oriented - Taking on new opportunities and tough challenges with a sense of urgency, high energy, and enthusiasm.
- Being Resilient - Rebounding from setbacks and adversity when facing difficult situations.
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.
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