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Job Description
Responsibilities:
The Senior Executive - Compliance assists and supports the Associate Manager - Compliance to provide a centralized compliance services to IQ-EQ clients.
Tasks:
- Ensure that all regulatory approval are received and followed up with regulatory bodies
- Adhere to the relevant processes in place and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ;
- Ensure that the AML/CFT framework for specific clients adhered to;
- Conduct Client file reviews for the purpose of ACR or special investigation;
- Prepare Administrators Compliance Report (ACR) for review by Associate Manager
- Assist in the preparation of Periodic Reviews
- Assist the Associate Manager to conduct Client file review or investigation;
- Assist in conducting AML/CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
- Conduct Due Diligence and World check for clients
- Work on Compliance Monitoring Report
- Work on compliance issues leading to disengagement of clients
Key competencies for position and level:
- Collaborative Relationships
- Deliver Consistent results
- Engages and develops juniors
Key behaviors we expect to see:
In addition to demonstrating our Group Values (Authentic, Bold, and Collaborative), the role holder will be expected to demonstrate the following:
- Accuracy
- Approachability
- Attention to detail
- Prioritization
- Proactivity
- Relationship Building
- Taking ownership
Qualifications
Education / professional qualifications:
- Degree holder in Law or any other relevant field
- Companies Act - Advance
- Financial Services Act, Securities Act and other relevant AML legislation affecting Global Business in Mauritius (e.g. FIAMLA/FIAMLR)
- Compliance knowledge
- Risk (Regulatory/AML) Knowledge
Background experience:
- 4-5 years’ experience in the financial services sector preferably in compliance
Additional information
At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.
Company description
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.
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