Executive - Compliance

The job incumbent will communicate directly with clusters on compliance matters, ensuring service excellence at all times and resolve issues that have no immediate impact on the Group clusters’ client relationship.

He/she will take ownership of all tasks assigned and any task delivered will be accurate, well-presented, meet quality standards, on time and in full.

Tasks:

• The job incumbent is responsible for any compliance work and/or process and all associated activities as assigned to him/her by the direct reporting line, except the review process. The processes he/she is expected to be responsible for are inter-alia, but not limited to:
• KYC review on entities based in multi jurisdiction, such as but not limited to France, UK, Cayman Islands, Luxembourg, Singapore and Jersey;
• Liaise with business department with regards to KYC requirements for client on boarding – Maintaining KYC Documents on a secured database – File Review (including world – check and sanction list screening);
• Provide report with gap analysis and propose remedial actions for validation;
• Drafting of Key operating procedures for new clients and KOPs update;
• Carrying out Due Diligence on client accounts;
• Check all accounts according to KYC principles and ensure that the account parameters and data have been correctly set on the core systems;
• Verify presence and adequacy of documents required from KYC perspective for a client to maintain accounts;
• Support in identifying, analysing and disseminating the latest global regulatory information;
• Provide assistance in FATCA and CRS compliance for client based in multi jurisdiction, such as but not limited to Netherlands, Cayman Islands, Luxembourg, Singapore and Jersey;
• Respond to queries from reviewers and/or clusters in a timely manner;
• Ensure all tasks assigned are up to date based on the planning in place;
• Proactively inform the reporting line for any work that cannot be executed as planned highlighting where changes may be needed in planning assumptions;
• Ensure all tasks executed are accurate and error free and always meets quality standards;
• Use professional judgment to assess when to escalate an issue promptly;
• Demonstrate ownership of his/her own development, highlighting when and where additional support and development is required;
• Provide on the job training and support to junior colleagues;
• To ensure protections of information assets of IQEQ Shared Services Ltd and to abide by the ISMS in place;
• Perform any ad-hoc functions relating to compliance work; and any other cognate duties that may from time to time be required, and which are appropriate for the role and business needs.

Key competencies for position and level:

• Customer focus
• Communicates effectively
• Plans and delivers
• Interpersonal savvy
• Result orientated
• Professional attitude
• Multitasking
• Critical thinking – analytical and problem solving

Key behaviours we expect to see:

In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder is expected to demonstrate the following:

• Accountability
• Discipline
• Attention to detail
• Collaboration
• Proactivity
• Organised
• Taking ownership
• Resilience
• Teamwork
• Drive to succeed
• Reliable and trustworthy

Education / professional qualifications:

• Degree holder in law or any other equivalent qualification
• Minimum 2 years’ experience; Experience in a similar role would be an advantage
• Relevant knowledge on KYC, AML/CFT, FATCA/CRS and International Compliance (FATF, Basel Committee, EU Laws amongst others). Be able to identify potential risk/compliance issues and conduct investigations

Computer / software knowledge:

• Competent at the advanced level of MS Office Word and Excel

Languages:

• Fluent in English and French