Senior Executive – Enterprise Risk and Regulatory Affairs

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.


  • 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


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


  • 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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