Associate Executive - Operational Compliance

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.

Job Description

The Associate Executive – Operational Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralised compliance services to IQ-EQ MU’s clients.

Tasks

• Assist the Associate Manager/Officers in –
• Ensuring that all regulatory approvals are processed and up to date
• Preparing re-assessment reports for the AML/CFT and Corporate Governance frameworks for specific clients
• Conducting client file review of less complex structures
• Conducting risk profiling of client companies as appropriate
• Preparing re-assessment reports of Code of Business Conduct
• Work under the supervision of the Associate Manager and Officers to
• Ensure that relevant processes are adhered to and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ
• Conduct Customer Due Diligence on the principals of client companies
• Conduct Enhanced Due Diligence (EDD) for PEP and REP
• Assist delivery team by conducting World checks/ internet checks for clients
• Assist the Associate Manager and the Officers to work on Administrators Compliance Reports and Periodic Reviews for high/ medium and low risk clients
• Ensure protections of information assets of IQ EQ MU and to abide by the ISMS in place at IQ EQ MU.

Qualifications

Education / professional qualifications

• Degree holder in Law or any other relevant field

Background experience

• Minimum 1 year experience in the financial services sector preferably in compliance or Operation

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.

Key competencies for position and level

• Communicates Effectively
• Effective Team Player
• Demonstrates Resilient
• Plans and Aligns
• Organisation Savvy
• Embodies our ABC values: Authentic, Bold, and Collaborative.

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:

• Customer Focus - Building strong customer relationships and delivering customer-centric solutions.
• Interpersonal Savvy - Relating openly and comfortably with diverse groups of people.
• Plans & Aligns - Planning and prioritizing work to meet commitments aligned with organisational goals.
• Communicates Effectively - Developing and delivering multi-mode communications that convey a clear understanding of the unique needs of different audiences.
• Manages Conflict - Handling conflict situations effectively, with a minimum of noise.
• Self-Development - Actively seeking new ways to grow and be challenged using both formal and informal development channels.
• Organizational Savvy - Manoeuvring comfortably through complex policy, process and people-related organisational dynamics.
• Demonstrates Self-Awareness - Using a combination of feedback and reflection to gain productive insight into personal strengths and weaknesses.
• Action Oriented - Taking on new opportunities and tough challenges with a sense of urgency, high energy, and enthusiasm.
• Being Resilient - Rebounding from setbacks and adversity when facing difficult situations.