Description

Responsibilities

The Associate Manager ensures regulatory compliance, manage risk, monitor processes, lead the team, and maintain accurate reporting.

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 with the team on Administrators Compliance Reports and Periodic Reviews
• Assist the Manager on RegCom 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 plans
• Client Facing

Key competencies for position and level

• Collaborative Relationships
• Deliver Consistent Results
• Engages and Develops team members
• Driving Business Growth
• Inspires and Mobilises Teams
• Navigates Complex Challenges

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
• 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 Info

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. We’re 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 5,800+ 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.  

We’re 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. We’re emotionally invested in our clients right from the beginning.