Officer – Regulatory & Compliance

Job Description

The Senior Associate assists and supports the Manager – Regulatory Compliance to provide Compliance Services and Money Laundering Reporting Officer to IQ EQ MU’s Clients.

Tasks:

• Assist the Manager in designing and implementing the AML/CFT framework for specific clients;
• Act as clients Deputy MLRO for client Companies;
• Attend board meetings to present MLRO/Compliance reports;
• Draft and review Compliance and MLRO reports to be tabled at the board meetings of the client companies;
• Assist the clients MLRO to investigate, analyse and report Suspicious Transaction Reports;
• Assist clients’ Compliance Officer and MLRO in conducting Client file review or special investigation;
• Assist in conducting AML/CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
• Assist in analysing and disseminating the latest regulatory information to clients;
• Provide basic day to day advice to PDC, Delivery function and Client Directors on specific compliance queries;
• Assist in formulating and updating the AML/CFT programme, procedures, systems and training for clients' entities' staff and directors;
• Assist in the provision of AML/CFT training to staff of client companies, as appropriate;
• Assist in designing and keeping updated the Administrator Compliance Review, the Bank Transaction Monitoring Reports and any associated reports; and
• Any other cognate duties including but not limited to administrative tasks related to the Regulatory Compliance function.

Key Competencies for position and level:

• Detail-oriented
• Conscientiousness
• Orderly
• Customer Focus (Internal and External)
• Effective Communication
• Effective Planning and Prioritization
• Interpersonal savvy
• Action orientated

Key behaviours we expect to see

• Accuracy
• Approachability
• Prioritization
• Proactivity
• Relationship building
• Taking ownership