Associate Executive – Operational Compliance

Job Description

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.

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.

Qualifications

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

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.