Associate - Quality & Risk Management

Support the Quality & Risk Management (QRM) function by executing and coordinating client background checks
and International Relationship Checks (IRC) to assess financial, legal, and reputational risks. The role ensures
all checks are completed in line with internal policies and regulatory requirements to protect the firm’s reputation
and enable compliant client acceptance decisions.

Responsibilities
Key responsibilities include:

Client Background Screening
 Perform background checks on prospective and existing clients
 Reputational risk screening (e.g. adverse media, sanctions screening)
 Financial and business risk assessment
 Ownership and directorship checks
 Utilise approved screening tools and databases to conduct due diligence (e.g., Refinitiv, Orbis or
equivalent tools)
 Analyse and map ownership structures, including shareholding chains, Ultimate Beneficial Ownership
(UBO), and related entities

 Review and interpret corporate family trees (group structures) to identify connections, cross-border
relationships, and potential risk exposures
 Support the validation of related entities for IRC
International Relationship Check
 Coordinate and perform IRC through global relationship system (GRS)
 Assess potential conflicts with other member firms
 Track IRC responses and follow up with global teams to ensure timely clearance
Risk Assessment & Escalation
 Identify potential red flags, inconsistencies, or high-risk indicators during screening
 Escalate findings to QRM senior team members for review and decision-making
 Support the assessment of client acceptance risks in line with firm policies and quality standards
Compliance & Governance
 Ensure all background and international checks are completed in accordance with internal QRM policies
and procedures and applicable regulatory and compliance requirements
 Maintain adherence to mandatory risk management processes prior to client onboarding or engagement
approvals
 Ensure completion of checks within defined turnaround times Documentation & Record Management
 Maintain accurate, complete, and auditable records of all background checks performed
 Ensure all supporting documentation and evidence are properly stored in designated systems
 Track status of checks and ensure timely completion in line with service level expectations
Stakeholder Coordination
 Liaise with internal QRM, compliance, and engagement teams to obtain required information for
background checks
 Provide updates on screening status and highlight any risks identified
Process & Continuous Improvement
 Support enhancements to client screening processes and controls
 Contribute to improving efficiency, consistency, and quality of background check activities
 Assist with internal reviews, audits, and compliance reporting where required