Senior Compliance Officer
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms.
Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
We’re driven by our Group purpose, to power people and possibilities.
The overall goal of the Compliance function is to support the successful execution of IQ-EQ`s business strategy through the delivery of an integrated risk and compliance culture and programme; whilst protecting IQ-EQ`s brand and reputation. Compliance aims to support the Board of Directors and Senior Management to fulfil their statutory and regulatory obligations, by helping to ensure compliance with the laws, regulations, principles and codes established by the regulator.
What you'll do:
- Manage fund onboarding processes, including the provision of compliance advice, risk assessments, and ongoing client maintenance with regular due diligence controls.
- Perform periodic client and investor file reviews as second line of defence, serving as an escalation point for the KYCTA team and supporting the first line of defence culture.
- Prepare and file Suspicious Activity Reports (SAR/STR), AML letters, and conduct regular screening and maintenance of the client database against blacklists, press coverage, and international sanctions.
- Provide internal and external audit support and follow-up for the Depositary function, ensuring compliance with regulatory requirements.
- Undertake compliance projects and ad hoc tasks as assigned, whilst promoting and strengthening an effective compliance culture throughout the organisation.
- You hold a Master's or Bachelor's degree in Law, Finance, or an equivalent discipline.
- You bring 3 to 5 years of professional experience in a Compliance Officer role.
- You are proficient in MS Office.
- You are fluent in English; additional language skills would be considered an asset
OUR COMMITMENT TO YOU AND THE ENVIRONMENT
Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders - including our employees, clients, and local communities - while also reducing our impact on our natural environment.
There is always more we can, and should do, to improve - whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.
Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 6,500+ employees - from 94 nationalities, across 24 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.
We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success lead to our sustainability and success. We’re emotionally invested in our clients right from the beginning.