Assistant Manager - Regulatory Compliance
Core
Champion a strong compliance culture, maintain regulatory registers, support regulatory compliance, review compliance documentation, and coordinate compliance projects for a global investor services group.
Role type
Assistant Manager, Regulatory Compliance
Builds
Integrated compliance culture and programme across the Group
Domain
Financial Services / Private Markets / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, Fitness & Propriety submissions, Board MI reporting, policy and procedure adherence, project coordination, administrative management
Preferred skills
ICA Compliance Certificate, mentoring, relationship building, working under pressure
Technologies
Compliance registers, compliance calendars, training records, compliance inbox, RACC meeting tools
Responsibilities
Promote IQ-EQ's values and support compliance initiatives; maintain and monitor key compliance and regulatory registers; assist with compliance monitoring and regulator queries; review and approve compliance-related documentation; coordinate Compliance projects and administrative activities
Seniority
Mid-level, hands-on IC