Associate Executive - Regulatory and Compliance

Responsibilities:

The Associate Executive Regulatory & Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralized compliance services to  IQ-EQ MUs 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.

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 :

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders including our employees clients and local communities while also reducing our impact on our natural environment.  

There is always more we can and should do to improve whether in relation to our people our clients our planet or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. Were committed to fostering an inclusive equitable and diverse culture for our people led by our Diversity Equity and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees careers while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5800 employees - from 94 nationalities across 25 countries - to each achieve their potential.  Through IQ-EQ Launchpad we support women managers launching their first fund in an environment where only 15% of all private equity and venture capital firms are gender balanced.  

Were committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients sustainability and success leads to our sustainability and success. Were emotionally invested in our clients right from the beginning.  

Remote Work :

No

Employment Type :

Full-time