Associate Executive - Regulatory & Compliance

The Associate Executive – Regulatory & Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralized 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.

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

• 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.