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

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)