Responsibilities:
The Senior Executive – Regulatory & Compliance assists and supports the Associate Manager – Regulatory & Compliance to provide a centralized compliance services to IQ-EQ clients.
Tasks:
- Ensure that all regulatory approval are received and followed up with regulatory bodies
- Adhere to the relevant processes in place and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ;
- Ensure that the AML/CFT framework for specific clients adhered to;
- Conduct Client file reviews for the purpose of ACR or special investigation;
- Prepare Administrators Compliance Report (ACR) for review by Associate Manager
- Assist in the preparation of Periodic Reviews
- Assist the Associate Manager to conduct Client file review or investigation;
- Assist in conducting AML/CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
- Conduct Due Diligence and World check for clients
- Work on Compliance Monitoring Report
- Work on compliance issues leading to disengagement of clients
Key competencies for position and level:
- Collaborative Relationships
- Deliver Consistent results
- Engages and develops juniors
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