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Job Description
The Senior Executive - Enterprise Risk and Regulatory Affairs will provide support:
- To the attainment of the overall objectives of the Enterprise Risk and Regulatory Affairs Department.
- In the planning, design and implementation of the enterprise-wide risk governance framework.
- To formulate regulatory and personal compliance policies, best practices and processes, attend to complex queries.
Tasks
- To draft Enterprise Risk, Regulatory Compliance and Personal Compliance local policies, procedures, processes, guidance notes, as appropriate
- To assist in conducting enterprise risk and regulatory risk assessments/audits to identify risk and controls deficiencies and come up with remedial actions
- To provide support in specific risk and regulatory related projects and assignments from time to time as directed by Reporting Line.
- To provide support in conducting Risk Events assessments and root cause analysis (experience with working on MetricStream would be an advantage)
- To map and track internal loss data as reported by the different Business Units
- To provide support in the implementation and maintenance of the Enterprise Risk Management Framework, including updating of Risk Registers as required
- To monitor and report on Key Risk Indicators for the different Business Units
- To assist in the conducting Risk Control Self Assessments (RCSA) and Business Impact Assessments (BIA) workshops.
- To provide support in the implementation of the Business Resilience Framework
- To assist in Complaint Handling, including conducting investigations to determine root cause of the complaints
- To assist in the maintenance of Regulatory Compliance Framework and identify regulatory risk through gap analysis
- To provide support in identifying, analysing and disseminating the latest regulatory information
- To provide support in the implementation and maintenance of the Personal & Ethics Compliance Framework
- To assist in the preparation and reporting for Operational Risk Committee, Group Risk and Compliance Committee, Group Risk and Compliance and Board
- To provide support in other compliance and risk management deliverables
Key competencies for position and level
- Customer focus
- Collaborates
- Good researcher
- Good Analytical Skills
- Detailed Oriented
Expected key behaviours
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Accuracy
- Attention to detail
- Collaboration
- Organisation
- Proactivity
Qualifications
Education / professional qualifications
- A degree from reputable university, preferably in the field of finance or financial services or directly related to compliance and risk functions with sufficient work experience to compensate
- A postgraduate degree or professional qualification in the field of Compliance and Risk Management would be an advantage
Background experience
- At least 2-4 years’ experience in the financial services sector and preference given to experience in Risk Management and Compliance, Audit and/or Control functions
- Experience in a similar role would be an advantage
Technical
- Good knowledge of compliance, risk and of regulatory framework
Computer / program knowledge
- Good Office tools skills and good knowledge of Excel modelling tools
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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