Manager, Regulatory & Compliance

Company Description

ABOUT IQ-EQ

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. 

We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top 15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities.

Job Description

JOB DESCRIPTION: manager

Office: India

Department: Client Services

Core Responsibilities

• Drawing on your existing experience in Corporate Secretarial and Company law and to some extent AML-CFT Laws you will be responsible for coordinating the day to day administrative and legal formalities for our varied and complex client portfolios. This will include Funds and corporate entities including trusts and companies.
• You have to be highly organized, reliable, work independently, pay close attention to details and know your subject matter as you will be dealing with queries relating to legal matters of holding companies.
• You will build strong customer relationships with your stakeholders, such as other clusters of IQEQ gaining insight into their needs and delivering customer-centric solutions also ensuring we meet our legal and contractual requirements.
• Compliance and regulations has never been more complex; you’ll need to ensure we comply and meet our KYC obligations by preparing, monitoring and maintaining robust client files, safeguarding from potential risks.
• You are able to support young team members and reviewing their work.
• You will lead board and shareholders meetings (if required), reviewing related minutes, agreements and documentation and also act as a point of reference to the OnBoarding Team.
• We are never complacent and always encourage our people to look for ways to improve our business; here everyone’s opinion counts and we will value your contribution.
• Your long-term career goals are important to us too. We want to make sure we’re providing the support and opportunities you need to achieve your dreams so we can build a successful future, together.
  
  

Qualifications

Qualifications

Should be minimum Master’s degree in Corporate / Company Law and qualified CS and be conversant with AML-CFT Laws.

• 8 to 10 years of legal/Cosec experience in the financial sector with at least 2-3 years of people management experience.
• Excellent communication both written and verbal
• Strong analytical skills and mature judgment.
• Client focused, Organized and Accurate
  
  

Cluster Client Delivery

• Acquires functional knowledge and understanding of the clients’ agreements, Scope of Work (SOW), SLA’s and other necessary information needed to review and/or prepare deliverables.
• Monitors if the Indian Cosec team has the needed information, data and supporting documents are received for the review/preparation of the needed deliverables. Addresses and escalates issues, as required.
• Monitors the consistency and quality of the deliverables within the agreed timeframes of the teams.
• Provides support (for timelines) and address issues (for quality), as needed.
• Monitors and communicates the review comments of the team and then follows up to address pending comments for preparers, as needed.
• Research and validates the interpretation of the requirements of the client.
• Assist in preparing reports on compliance cases with root cause information, corrective action, and preventive measures in a timely manner.
• Assist in enforcing process standards across the teams.
• Ensure the client database and all other reports are up to date and accurate
• Assist in tracking and reporting KPIs as agreed with the Mauritius cluster.
  
  

Additional Responsibilities

• Balances Stakeholders - Anticipating and balancing the needs of multiple stakeholders.
• Courage - Stepping up to address difficult issues, saying what needs to be said.
• Drives Results - Consistently achieving results, even under tough circumstances.
• Optimises Work Processes - Knowing the most effective and efficient processes to get things done, with a focus on continuous improvement.
• Collaborates - Building partnerships and working collaboratively with others to meet shared objectives.
• Decision Quality - Making good and timely decisions that keep the organisation moving forward.
  
  

Staff Managerial Responsibilities

• Recruit, train, appraise, coach and discipline staff
• Give feedback to staff
• Ensure staff adheres to policies and procedures
• Develop goals and personal growth plans for staff
• Plan work assignments and workload
  
  

Workflow Management

• Ensures timesheets are completed daily and accurately filed for all hours worked.
• Reviews and approves timesheets of their team and ensures they are completed daily and accurately filed for all hours worked in a timely manner.
• Reviews and pre-approves filed overtime of their team.
• Analyses and proactively manages team capacity deliverables by allocating needed resources/support.
• Risks
• Monitors relevant procedures and checklists are adhered to and completed to mitigate errors.
• Monitors reported breaches, complaints or errors to appropriate authorities are acted upon in a timely manner.
• Acquires knowledge of risk factors and potential breach.
  
  

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

As a forward-looking business, sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining meaningful, 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 5,500+ employees - from 94 nationalities, speaking 41 languages across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support female 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 long-term relationships with our clients and supporting them in achieving their objectives. We understand that our clients' sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.