Associate Executive - Regulatory Compliance
Associate Executive - Regulatory Compliance
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Responsibilities:
The Associate Executive Regulatory & Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralized compliance services to IQEQ MUs clients.
Tasks:
Assist the Associate Manager/Officers in:
- Ensuring that all regulatory approvals are processed and up to date
- Preparing reassessment 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 reassessment 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.
Key competencies for position and level:
- Customer Focus
- Communicates effectively
- Develops talent
- Directs work
- Collaborates
- Work under pressure
Key behaviours 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
- Prioritisation
- Proactivity
- Relationship Building
- Taking ownership
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 IQEQ 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.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
