Associate Manager – Compliance
- Mauritius
- Not disclosed
- Permanent
- Added 17/10/2024
- Closing 16/11/2024
- Divya Rampadaruth
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.
Responsibilities:
The Associate Manager assists and supports the Operational Compliance to provide a centralized compliance services to IQ-EQ clients.
Tasks:
Assist the Manager in:
- ensuring that all regulatory approvals are processed and up to date
- re-assessing 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 team’s 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 IQ-EQ 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.
