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