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Job Description
Compliance Monitoring Programme
- Supporting the execution of the Compliance Monitoring Programme to assess adherence to regulatory requirements and internal policies
- Conducting periodic review of business processes, identify gaps, and recommending corrective actions to enhance compliance effectiveness
- Track and report on compliance findings, ensuring timely follow-up and remediation by business units
Due Diligence Reviews
- Conducting due diligence reviews on clients, counterparties, and related parties, including name screening, enhanced due diligence measures, name screening and Source of Wealth / Source of Funds assessments
- Familiar with AML/KYC requirements for individuals and different types of entities e.g. Companies, Partnership, Financial Institutions, Trusts etc.
- Documenting findings, escalating concerns and recommending mitigation measures
- Carrying out desktop research on new and existing clients
Policies and Procedures
- Ensuring that applicable Compliance policies and procedures are kept up to date to reflect new Group or local regulatory requirements
Other Deliverables
- Assist with internal initiatives from time to time which include but are not limited to quality assurance, audit and/or regulatory inspections
- Support the department as required within the confines of role.
- Undertake any additional reasonable duties as required the Firm.
Qualifications
- 2-3 years’ experience of relevant working experience in the Risk & Compliance area in the financial services sector
- Fresh graduates with relevant Risk & Compliance internship experience are welcome to apply
- Fluent in verbal and written English is essential; Mandarin will be an advantage due to business needs
- Strong MS Office skills (especially Excel)
What we offer
- Comprehensive remuneration and pension: motivating financial packages based upon market rates for your role and is proportionate to your qualifications, level of experiences and skills profile
- Annual leave: our employees are entitled to 25 days paid leave plus all statutory public holidays
- Flexible working: we recognise the value of working flexibly and want to ensure all employees enjoy an excellent work-life blend. As such, we are open to conversations with employees related to setting up flexible working arrangement
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.
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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