Compliance Manager
il y a 1 semaine
**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** Responsibilities (how we will measure success)**
The overall goal of the Risk & 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; while protecting IQ-EQ's brand and reputation. Risk & 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.
**Tasks (what does the role do on a day-to-day basis)**
As a Manager of the Monitoring & Oversight activities for the Risk & Compliance department for IQ EQ (Luxembourg) S.A., you will be reporting to the Head of Risk & Compliance. You will contribute to the delivery of the compliance monitoring programme (CMP) defined by the Board of Directors or IQ EQ (Luxembourg) S.A. and in doing so, you will ensure the firms' compliance with its regulatory and legal obligations.
Providing clear direction to the 1st line of defense (1LOD) by producing reports related to the controls performed; supporting their closure of any gaps in the current operating state through agreed actions and deadlines. Supporting the local CCO and Group function in providing the positive assurance required under the CMP methodology.
Your role and responsibilities will consist of:
- Carrying out all aspects of Monitoring & Oversight (M&O) reviews including determining scope and agreeing terms of reference, fieldwork, and analysis, drafting reports, and agreeing actions with business management.
- Delivery of compliance tests on time, in accordance with strict compliance monitoring plan schedule.
- Deliver a series of defined monitoring tests to ascertain the company’s compliance with its regulatory and legal obligations.
- Responsible for planning monitoring tasks / testing sheets, the drafting and issuance of review report(s) with regards to compliance monitoring.
- Responsible for maintaining excellent record keeping in alignment with the Compliance Monitoring Specification
- Engage with business pre and post testing; monitoring and verifying the completion of the actions set, which help the business demonstrate positive compliance.
- Participate in the review of annual compliance risk assessment results.
- Continuously develop and improve the monitoring methodology and overall approach.
- Propose adequate and timely action plans/recommendations.
- Emphasizing and strengthening the first line of defense culture in day-to-day activities
- Promoting and supporting an effective Compliance culture within the company
- Attending boards and sub-committees as required to present monitoring findings and recommendations.
**Qualifications** Key competencies for position and level (see Group Competency model)**
Ensure compliance with applicable laws, service standard and agreed, operational and control policies and procedures processes.
Using your own judgement, bring to the attention of senior management any issues which you feel appropriate, in particular ensuring that concerns and identified risks are reported in a timely and effective manner.
**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:
- Problem-solving
- Pro-active
- ‘Hands-on’ and pragmatic
- Completer finisher
- Integrity and transparency
- Energy and determination
- Resilient - can work in a fast-paced environment
- Self-awareness with understanding of emotional intelligence
- Strong organisation and analytical skills
- Excellent communication and influencing skills
- Ability to deliver on time every time
- Well organised and structured
**Requirements**:
- Master/Bachelors in Law, Economics or Finance or in a similar field
- 5-7 years’ experience in Compliance function, Compliance Monitoring & Oversight, Internal Control or Internal Audit
- Knowledge of MS Office
- Fluent in French and English; any additional language would be considered an asset
**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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