Associate Manager – Compliance

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