IQ-EQ Asia – Risk & Compliance Officer (1 Year Contract)

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. 

Compliance Monitoring Programme

• Supporting the execution of the Compliance Monitoring Programme to assess adherence to regulatory requirements and internal policies
• Conducting periodic review of business processes, identify gaps, and recommending corrective actions to enhance compliance effectiveness
• Track and report on compliance findings, ensuring timely follow-up and remediation by business units

Due Diligence Reviews

• Conducting due diligence reviews on clients, counterparties, and related parties, including name screening, enhanced due diligence measures, name screening and Source of Wealth / Source of Funds assessments
• Familiar with AML/KYC requirements for individuals and different types of entities e.g. Companies, Partnership, Financial Institutions, Trusts etc.
• Documenting findings, escalating concerns and recommending mitigation measures
• Carrying out desktop research on new and existing clients

Policies and Procedures

• Ensuring that applicable Compliance policies and procedures are kept up to date to reflect new Group or local regulatory requirements

Other Deliverables

• Assist with internal initiatives from time to time which include but are not limited to quality assurance, audit and/or regulatory inspections
• Support the department as required within the confines of role.
• Undertake any additional reasonable duties as required the Firm.

Qualifications

• 2-3 years’ experience of relevant working experience in the Risk & Compliance area in the financial services sector
• Fresh graduates with relevant Risk & Compliance internship experience are welcome to apply
• Fluent in verbal and written English is essential; Mandarin will be an advantage due to business needs
• Strong MS Office skills (especially Excel)