Associate Director – AML/KYC (Alternative Assets)

at  IQEQ

Company Description
IQEQ is a preeminent service provider to the alternative asset industry. IQEQ works with managers in multiple capacities ranging from hedge fund, private equity fund, and mutual fund launches; private equity fund administration; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act); financial controls and operational support services; compliance and operational related projects and reviews; and outsourced CFO/controller and administration services to private equity fund investments – portfolio companies, real estate assets and energy assets. Our client base is growing, and our existing clients are engaging the firm across the spectrum of our services offerings.
Job Description

The Associate Director will report directly to the Business Unit Head of the IQ-EQ US Regulatory Compliance Group and oversee the AML offering. You will be responsible for overseeing, implementing and continuing to enhance policies, procedures, controls and programs to ensure compliance with Anti-Money Laundering (AML), Office of Foreign Asset Control (OFAC) and Know Your Customer (KYC) related laws, rules, regulations and regulatory expectations both in the United States and in the Cayman Islands as it relates to our client-facing support offering. Primary responsibilities include:

• Lead and manage staff of AML professionals to accomplish goals and ensure delivery of excellent client service
• Develop and assist in the implementation of client-facing AML support services offering and strategic direction as well as maintain the client-facing AML compliance program for the business
• Translate AML strategy and goals across IQ-EQ clients, products, and geographies in a succinct, brief and clear manner as well as provide direction and guidance to IQ-EQ’s clients and prospects
• Coordinate with the region’s Chief Risk Officer and Group’s Head of Financial Crime to ensure the client-facing program is conducted within the risk appetite of the firm more globally
• Serve as the AML Subject Matter Expert, communicating cross-functionally to ensure compliance, identify potential gaps, provide recommendations, and oversee and implement program enhancements
• Prepare and review metrics for key processes, ensuring execution in line with client-expectations
• Undertake any additional reasonable duties as required by IQ-EQ

• Lead and manage staff of AML professionals to accomplish goals and ensure delivery of excellent client service
• Develop and assist in the implementation of client-facing AML support services offering and strategic direction as well as maintain the client-facing AML compliance program for the business
• Translate AML strategy and goals across IQ-EQ clients, products, and geographies in a succinct, brief and clear manner as well as provide direction and guidance to IQ-EQ’s clients and prospects
• Coordinate with the region’s Chief Risk Officer and Group’s Head of Financial Crime to ensure the client-facing program is conducted within the risk appetite of the firm more globally
• Serve as the AML Subject Matter Expert, communicating cross-functionally to ensure compliance, identify potential gaps, provide recommendations, and oversee and implement program enhancements
• Prepare and review metrics for key processes, ensuring execution in line with client-expectations
• Undertake any additional reasonable duties as required by IQ-E