Senior Compliance Officer
Senior Compliance Officer
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Job Description
Job Title: Senior Compliance Officer
About Company:
The company is a liquidity and technology provider of solutions for the crypto and foreign exchange (FX) industry. The company specializes in the sphere of B2B services and products catering to a wide range of clients including large licensed brokers crypto exchanges crypto brokers forex brokers hedge and crypto funds and professional managers.
Overview:
We are seeking an experienced Compliance Officer to oversee regulatory compliance for our Investment Dealer License in Mauritius. The successful candidate will ensure full compliance with FSC Mauritius regulations AML/CFT requirements and global financial standards while supporting the firms operational integrity.
Key Responsibilities:
Regulatory Compliance & FSC Engagement:
- Ensure full compliance with FSC Mauritius regulations including the Securities Act Investment Dealer Guidelines and AML/CFT Act.
- Overview and preparation of managing regulatory reporting licensing obligations and compliance audits.
- Monitor regulatory developments affecting investment dealers implementing necessary policy and procedural updates.
- Maintain and enhance internal policies risk frameworks and compliance manuals in line with FSC FIAMLA and global best practices.
- Ensure compliance with capital adequacy requirements client fund segregation rules and reporting obligations under the Investment Dealer framework.
AML/CFT Compliance & Risk Management:
- Oversee KYC/KYB processes for retail and institutional clients ensuring compliance with AML/CFT laws.
- Implement transaction monitoring systems to detect potential market abuse money laundering and suspicious trading activities.
- Conduct enhanced due diligence (EDD) for highrisk clients including Politically Exposed Persons (PEPs) and crossborder entities.
- Prepare and submit Suspicious Transaction Reports (STRs) and Suspicious Activity
Reports (SARs) to the relevant authorities. - Ensure adherence to sanctions screening and FSC guidelines on financial crime prevention.
Internal Compliance & Governance:
- Develop and maintain compliance policies internal procedures and operational controls for brokerage and investment services.
- Conduct internal audits and risk assessments to identify compliance gaps and mitigate regulatory risks.
- Train employees on AML/CFT compliance FSC guidelines and best practices in investment dealer operations.
- Ensure all marketing client agreements and financial promotions comply with FSC and antimisleading advertising rules.
Trade & Market Conduct Compliance:
- Monitor trading activities order and client fund handling to ensure compliance with FSC investment dealer regulations.
- Ensure best policies and market abuse prevention measures are in place.
- Assist in the review and approval of new financial instruments trading products and investment strategies.
Qualifications & Experience:
- Education: Bachelors degree in Law Finance Business Administration or a related field. Compliance certifications such as CAMS ICA CRCM or equivalent are preferred.
- Experience:Minimum 5 years in compliance within an investment dealer brokerage or financial institution regulated by FSC Mauritius including KYB and KYC processing and analyzing.
- Regulatory Knowledge: Strong understanding of FSC Mauritius regulations Investment Dealer License requirements and AML/CFT laws.
- Analytical & Communication Skills:Ability to analyze complex regulations assess compliance risks and communicate regulatory requirements effectively.
- Attention to Detail: Strong skills in regulatory reporting compliance risk management and compliance documentation.
- Selfinitiative independent and forwardthinking.
Key Competencies:
- Regulatory Awareness: Strong knowledge of FSC Mauritius regulations FATF guidelines and AML/CFT frameworks.
- DecisionMaking: Ability to assess and mitigate compliance risks in trading and investment operations.
- Collaboration: Ability to work with trading risk legal and operational teams to ensure regulatory compliance.
- Strategic Thinking: Ability to develop and implement compliance strategies aligned with evolving global regulations.
- DecisionMaking: Capable of assessing highrisk applying risk based approach and making informed compliance decisions.
- TechSavvy Approach: Familiarity with KYB/KYC software (Sum and Substance/Lexis Nexis/ ComplyAdvantage etc) trading platforms (cTrader MT4/5 etc.
- Team Collaboration: Ability to work crossfunctionally with legal tech risk and finance teams in a fastpaced environment.
Why Join Us
This role offers an exciting opportunity to work in a dynamic investment brokerage environment ensuring full compliance with FSC Mauritius regulations while supporting the companys growth and integrity.
Benefits:
- Competitive salary based on knowledge and experience.
- 24 days of annual leave (as per group policy).
- Flexible working options including remote and hybrid work arrangements.
- Support for continuing education blockchain certifications and regulatory training (after one year with the company).
- Performancebased annual bonuses tied to compliance KPIs.
Employment Type
Full Time
