Compliance Administrator
5 days ago
Company Description
IQ-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.
**Job Description**:
- Processing Exception Reports, liaising with Compliance team members and the Business to investigate and close any open exceptions
- Produce a weekly Service Entity Risk Review (SERR) overdue status report for the Compliance Manager and Compliance Director
- Undertake when required World checks and KYC Screenings
- Assist with the overnight Bulk Screening potential match analysis and undertake further investigation to process the potential match
- Prepare the data and report for the 1-2-1 Manager and Client Service Directors monthly meetings
- Assist with the preparation of the CMP testing including Transaction, Distribution, SERR, CDD and ad hoc testing and maintaining the CMP Control spreadsheet
- Assist with uploads of Procedures, Policies and Controls (PPC’s) into the Office Manual and prepare the Office Manual changes announcement
- Monitor, update and escalate any open items on the Compliance Monitoring Programme (CMP) schedule
- Assist with New Business Acceptance Committee (NBAC) processing, setting up the forms before take on, filing forms and notes post take on, assist CDD reviews and update the CMP spreadsheet
- Assist with third party AML declaration reviews
- Prepare the Agenda and reports for the monthly compliance team meeting
**Qualifications**:
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:
- Collaborative
- Problem-solving
- Pro-active
Required Experience
- Previous experience in an Administration or Compliance role
- Good working knowledge of Microsoft Office, particularly Word and Excel
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.
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