The Associate Executive – Operational Compliance assists and supports the Operational Compliance Officer and Associate Manager to provide a centralised compliance services to IQ-EQ MU’s clients.
- 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.
Education / professional qualifications
- Degree holder in Law or any other relevant field
- Minimum 1 year experience in the financial services sector preferably in compliance or Operation
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.
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