Responsibilities (how we will measure success)
- Support other IQ-EQ departments, provide and share AML/KYC expertise during day to day business
- Responsible of a portfolio of investors for AML/KYC onboarding process
- Making 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 meetings
- Prepare relevant checklist in line with the investor profile and update database
- Keep your portfolio updated and provide regular feedback to your Line Manager
- Participation to client meetings.
Tasks (role on a day-to-day basis)
- Analysis of the KYC files with the screening and updating database
- AML/KYC preparation, analysis, set-up of the investors’ file and identification of main issues
- Answer emails/queries from internal and external parties in a timely manner
- Assess the level of risk inherent to each investor to determine a risk-based approach in line with IQ-EQ internal policy
- Effective and efficient communication of AML and regulatory information
- Organise meeting with different stakeholders (Clients, Client Directors, Compliance) and support other departments
- Be the point of contact and provide support to Transfer Agent Team and Fund department in general
- Support other IQ-EQ departments, provide and share AML/KYC expertise during day to day business
- Review KYC on investors during periodic review
- Identify the main risks in relation with the monitoring of existing clients. Escalate the risks to the Line Manager and Compliance
- Escalation 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 Indicators
- Answering to regulatory requests including the completion of the annual AML questionnaire
- Participation to the various Audit missions and to provide supporting documents for internal and external AML audits
- Attendance to Board meeting when and if required
- Providing advice to the Management and to the staff on AML/legal related matters
- Training of new joiners and advanced training such as new regulations, AML, new process etc
- Perform name screening and file review as 2nd line of defence and supervise the reviews done by Officer and Junior team members
- Participate to the internal Meeting to share experiences and information/projects within the department
- Setting 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 status
- Supervise tasks performed by other officers which are related to Funds Clients and share experiences and knowledge within the department
- Maintain an appropriate AML Program (including documented policies and procedures)
- Regulatory watch related to AML matters and fund industry
- Emphasize and strengthen the 1st line of defence culture within IQ-EQ during day to day activities
- Taking part of a good governance model for IQ-EQ
Key competencies for position and level (see Group Competency model)
- Interpersonal savvy
- Action orientation
- Plans and aligns
- Demonstrates self-awareness
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:
- Attention to detail
- Taking ownership
- Approachability
- Organisation
- Team player
- Solution-oriented
- Quality assurer
- Multi-task
- Good communication
