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Assistant Manager - Client Compliance

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IQ-EQ

16d ago

  • Job
    Full-time
    Mid Level
  • Banking & Finance
  • Cambridge
  • Quick Apply

Requirements

  • Education / professional qualifications:
  • ICA Diploma or equivalent
  • Evidence of Continued Professional Development
  • Background experience:
  • Previous Compliance experience in the funds/investment sector
  • Desirable - Previous experience of holding prescribed positions
  • Computer / program knowledge:
  • Strong Microsoft Office skills
  • Experience of using screening tools such as Worldcheck
  • Experience of interrogating and generating reporting from administration systems

Responsibilities

  • To support the Senior Manager in delivery of compliance services to IQ-EQ Fund Services (Guernsey) Limited clients. The individual’s primary responsibility is to assist in ensuring the compliance of managed licensees with applicable regulation and to support and protect the licensees against fraud and money laundering risk, exposure to terrorist financing and proliferation, and related reputational risk. The individual should expect to hold or progress towards holding MLCO and MLRO positions for client licensees.
  • Tasks:
  • Assist the boards in the maintenance and continuous improvement of the firm’s AML/CTF/CPF Business Risk Assessment and operational risk assessment
  • Preparation of quarterly/periodic Board reports;
  • Carrying out Compliance Monitoring Testing, conducting root cause analysis and identifying suggest management actions where findings are identified
  • Liaise with colleagues in client service teams in respect of client deliverables, CMP findings and regulatory returns
  • Delivering training in respect of existing and updated policies and procedures, in conjunction with colleagues in other departments where appropriate;
  • Assisting in ensuring that regulatory developments are considered and incorporated within managed licensees’ policies and procedures
  • Maintaining ML / FT registers to include:
  • SAR register
  • ML enquiries register
  • Sanctions register
  • Client Payment Request Form register
  • FIS Liaison/Request for Information register
  • Responding to business internal queries, for example, those relating to the Handbook for Countering Money Laundering and Financing of Terrorism (the Handbook), Sanctions or Group Compliance PPCs etc;
  • Ensuring timely submission of annual and periodic GFSC returns by the appropriate team.
  • Assisting for example in the timely response to GFSC Section 23, FIS Reg 2, 2A, Production Orders, Fraud Notices etc, as required;
  • Handling requests and queries from regulators/auditors.
  • Ensuring that all relevant records and registers are maintained;
  • Conducting compliance training as required by the business;
  • General compliance reporting to local and Group management;
  • To hold Nominated Officer appointments for client entities
  • To hold or progress towards holding MLRO and MLCO appointments for client licensees

Know how, know you

Finance
Industry
5001-10,000
Employees
1896
Founded Year

Mission & Purpose

We are IQ-EQ, a leading investor services group employing 5000+ people across 25 jurisdictions worldwide. We bring together that rare combination of global technical expertise and a deep understanding of our clients' needs. We have the know how and the know you to deliver for our clients - fund managers, multinational companies, family offices and private clients operating worldwide.

Culture & Values

  • Authentic

    We act with integrity. We keep it true.

  • Bold

    We find solutions. We push boundaries.

  • Collaborative

    We do it together. We work as One team.

Benefits

  • Global footprint

  • Hybrid working

  • Employee wellbeing

  • Employee development

  • Authentic

    We act with integrity. We keep it true.

  • Bold

    We find solutions. We push boundaries.

  • Collaborative

    We do it together. We work as One team.