Senior Executive – Compliance

Job Description

Responsibilities:

The Senior Executive - Compliance assists and supports the Associate Manager -  Compliance to provide a centralized compliance services to IQ-EQ  clients.

Tasks:

• Ensure that all regulatory approval are received and followed up with regulatory bodies
• Adhere to the relevant processes in place and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ;
• Ensure that the AML/CFT framework for specific clients adhered to;
• Conduct Client file reviews for the purpose of ACR or special investigation;
• Prepare Administrators Compliance Report (ACR) for review by Associate Manager
• Assist in the preparation of Periodic Reviews
• Assist the Associate Manager to conduct Client file review or investigation;
• Assist in conducting AML/CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
• Conduct  Due Diligence and World check for  clients
• Work on Compliance Monitoring Report
• Work on compliance issues leading to disengagement of clients

Key competencies for position and level:

• Collaborative Relationships
• Deliver Consistent results
• Engages and develops juniors

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