Job Description
To act as the Senior Compliance Manager and MLCO / CO for IQ-EQ (Guernsey) Limited. The individual’s primary responsibility is to ensure the compliance of the business with applicable regulation and to support and protect the business against fraud and money laundering risk, exposure to terrorist financing and proliferation, and related reputational risk.
- Organising and executing the IQ-EQ Compliance Monitoring Programme and working with the MLRO to enhance the IQ-EQ AML and CFT Policies, Procedures and Controls
- Handling requests and queries from regulators/auditors/third party auditors
- Responding to business internal queries, for example, those relating to the Handbook for Countering Money Laundering and Financing of Terrorism (the Handbook), Sanctions or Group Compliance PPC’s etc
- Preparation of quarterly/periodic Board reports
- Establish a rolling audit/review of the risks of the business to include the examination of entities, preparing reports of the findings for quarterly Board meetings and the HRCRC as required
- Professional qualification such as ICA or equivalent
- Compliance management experience, ideally from a private wealth or funds background
- Knowledge of the Guernsey financial services industry
- Prior experience of holding prescribed roles (MLCO)
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.
