Business Compliance Manager

The role is initiated since first line compliance assurance is the basis of our service offering. Youll assure continuous focus on both delivery and quality of first line compliance for and within each of the operational teams. 

Youll be responsible to securing proper fulfilment of Wwft and WTT compliance in the allocated teams (during the full life cycle of the Object Company) and promoting the quality consistency and uniformity of methods and definitions applied in the registration of all related actions and documents (data quality) in the relevant tools (such as RA-CAM SERR and ANTrance).  

What you will do

• Youll assure the quality of the regulatory and procedural client due diligence during and outside the (periodic) compliance review and the onboarding and offboarding processes (in line with the WWFT and WTT). Educates and advises the members of the teams to increase consistency and quality throughout the teams. 
• Youll assure substantiation and documentation of all relevant parts of the structures and the UBOs of the relevant parts of the structures (and the clients). Verifies Risk Analysis and Client Acceptance Memoranda (RA-CAM) group integrity risk profiles (SERR) transaction profiles sources of funds sources of wealth and total net worth of UBOs. Explains the purpose of each layer of the structures and the flows of funds (charts). Drafts sanction PEP and bad press memos if required (based on daily screening results). Implements mitigating measures and enhanced due diligence measures whenever required.  
• Youll support Client Service Managers with completing the Client Memoranda and Client Acceptance tabs ensuring that all assessments and conclusions are properly documented. Provides input reviews and approves the RA-CAMs and assures that the Client Memoranda are snapshotted afterwards before the compliance review due dates or before OCA. 
• Youll monitor OCA trigger events and follow-up as requested by OCA. Assures follow-up on assessments done by Compliance and in connection with the Management Attention lists. 
• Youll perform overall client file reviews for the allocated teams. 
• Youll close contact with the second line Risk & Compliance department (assessing the quality of compliance and keeping track of open items). Ensures proper follow-up of their advises and/or action points specific SERR improvements and GRRC (Group Reputational Risk Committee) requirements within the allocated teams.  

What we offer

• IQ-EQ offers a comprehensive benefits package designed to support employees well-being and work-life balance.
• Employees receive generous paid time off including 30 vacation days plus all public holidays.
• Financial wellness is supported through a premium pension plan with Nationale Nederlanden holidays allowance homme working allowance and reimbursement of fitness membership.
• IQ-EQ provides both monetary and non-monetary support in relation to all aspects of studying for professional qualifications to develop your career

Qualifications :

• At least 3 years experience working in a similar compliance related role in the financial services industry. 
• Preferably knowledge of or experience working in the (global) investor services industry.  
• Knowledge of the WWFT and the WTT. 
• Masters degree (preferably Dutch law). 
• Fluent in the English language a good understanding of Dutch is preferred. 

Additional Information :

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 lead to our sustainability and success. Were emotionally invested in our clients right from the beginning.  

Remote Work :

No

Employment Type :

Full-time