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Job Description
Responsibilities:
The Senior Officer is a member of the Compliance Team and will work closely with each Compliance team member assisting in achieving the team and Business objectives.
The Compliance Senior Officer will provide a wide variety of compliance administration tasks accurately and in a timely manner.
Tasks:
- Processing Exception Reports, liaising with Compliance team members and the Business to investigate and close any open exceptions
- Produce a weekly Service Entity Risk Review (SERR) overdue status report for the Compliance Manager and Compliance Director
- Undertake when required World checks and KYC Screenings
- Assist with the overnight Bulk Screening potential match analysis and undertake further investigation to process the potential match
- Prepare the data and report for the 1-2-1 Manager and Client Service Directors monthly meetings
- Assist with the preparation of the CMP testing including Transaction, Distribution, SERR, CDD and ad hoc testing and maintaining the CMP Control spreadsheet
- Assist with uploads of Procedures, Policies and Controls (PPC’s) into the Office Manual and prepare the Office Manual changes announcement
- Monitor, update and escalate any open items on the Compliance Monitoring Programme (CMP) schedule
- Assist with New Business Acceptance Committee (NBAC) processing, setting up the forms before take on, filing forms and notes post take on, assist CDD reviews and update the CMP spreadsheet
- Assist with third party AML declaration reviews
- Prepare the Agenda and reports for the monthly compliance team meeting
- Prepare KRI/GRACC data for Group Risk reporting
Qualifications
Background experience
- Previous experience in an Administration or Compliance role
Computer / program knowledge
- Good working knowledge of Microsoft Office, particularly Word and Excel
Additional information
At IQ EQ Group 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 part of 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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