Associate Manager - Regulatory & Compliance
Associate Manager - Regulatory & Compliance
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
The Associate Manager assists and supports the Operational Compliance to provide a centralized compliance services to IQEQ clients.
Tasks:
Assist the Manager in:
- ensuring that all regulatory approvals are processed and up to date
- reassessing the Code of Business Conduct and Corporate Governance frameworks for specific clients
- conducting client file review
- conducting bank transaction monitoring
- assist to monitor remediation or findings relating to CDDs.
- review compliance issues leading to Disengagement of a client
Work closely with the team 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 Enhanced Due Diligence (EDD) for PEP and REP and World checks for clients
- monitor progress on findings on Power APPs
- Work on MLRO/Compliance Reports to be tabled at the board meetings of the client companies;
- Work with the team on Administrators Compliance Reports and Periodic Reviews
- Assist the Manager on Operational Compliance teams work and assignment as well as in building capabilities within the team
- Train and coach team members so that they are well aware of all the processes and their responsibilities
- Conduct Staff Appraisals and recommend career development plan
Key competencies for position and level:
- Collaborative Relationships
- Deliver Consistent Results
- Engages and Develops team members
- Driving Business Growth
- Inspires and Mobilizes Teams
- Navigates Complex Challenges
Key behaviors 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
- Prioritization
- Proactivity
- Relationship Building
- Taking ownership
Qualifications :
Education / professional qualifications:
- Degree holder in Law or any other relevant field
- Fully masters the understanding of FSA Securities Act FIAML and FIAMLR
Background experience:
- Minimum 5 years experience in the financial services sector preferably in Compliance or Operations
Others:
- Excellent at Excel word and PowerPoint
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
