Responsibilities (how we will measure success) Support other IQ-EQ departments, provide and share AML/KYC expertise during day to day businessResponsible of a portfolio of investors for AML/KYC onboarding processMaking sure every file is duly monitored and that appropriate actions are taken for incomplete KYC file, including, but not limited to reminders, phone calls and organisation of meetingsPrepare relevant checklist in line with the investor profile and update databaseKeep your portfolio updated and provide regular feedback to your Line ManagerParticipation to client meetings.Tasks (role on a day-to-day basis) Analysis of the KYC files with the screening and updating databaseAML/KYC preparation, analysis, set-up of the investors' file and identification of main issuesAnswer emails/queries from internal and external parties in a timely mannerAssess the level of risk inherent to each investor to determine a risk-based approach in line with IQ-EQ internal policyEffective and efficient communication of AML and regulatory informationOrganise meeting with different stakeholders (Clients, Client Directors, Compliance) and support other departmentsBe the point of contact and provide support to Transfer Agent Team and Fund department in generalSupport other IQ-EQ departments, provide and share AML/KYC expertise during day to day businessIdentify the main risks in relation with the monitoring of existing clients. Escalate the risks to the Line Manager and ComplianceEscalation process to Group Risk & Compliance (PEP, HIGH…)Provide support to the Business during preparation of escalation process to group Risk & Compliance (PEP, REP requests)Preparation of Key Risk IndicatorsAnswering to regulatory requests including the completion of the annual AML questionnaireParticipation to the various Audit missions and to provide supporting documents for internal and external AML auditsAttendance to Board meeting when and if requiredProviding advice to the Management and to the staff on AML/legal related mattersTraining of new joiners and advanced training such as new regulations, AML, new process etcPerform name screening and file review as 2nd line of defence and supervise the reviews done by Officer and Junior team membersParticipate to the internal Meeting to share experiences and information/projects within the departmentSetting up action plan if situation remains blocked despite several reminders for incomplete investor files and regular follow-up with the team members on their project statusSupervise tasks performed by other officers which are related to Funds Clients and share experiences and knowledge within the departmentMaintain an appropriate AML Program (including documented policies and procedures)Regulatory watch related to AML matters and fund industryEmphasize and strengthen the 1st line of defence culture within IQ-EQ during day to day activitiesTaking part of a good governance model for IQ-EQKey competencies for position and level (see Group Competency model) Interpersonal savvyAction orientationPlans and alignsDemonstrates self-awarenessKey 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:
Taking ownershipApproachabilityOrganisationTeam playerSolution-orientedQuality assurerMulti-taskGood communicationQualificationsBachelor/Master degree in Economics or Finance3-5 years of experience in AML/KYC or Compliance is a great assetFluent in English, any other language will be considered as an advantage Self-motivated team playerAdditional informationAt 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.
Company descriptionIQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.
#J-18808-Ljbffr
