Senior Consultant â Regulatory Compliance
Senior Consultant â Regulatory Compliance
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Job Description
Purpose of the job
Assist and support the Consulting Lead in prescribe roles functions i.e. Compliance Officer/Money Laundering Reporting Officer (MLRO)/Deputy MLRO/ Data Protection Officer.
Oversight and management of the daytoday operations of the Compliance Function of regulated clients.
Assist in the implementation and management of approved policies and procedures.
Act as Compliance Officer/MLRO/Deputy MLRO/Data protection officer depending of business and clients needs.
Support the Consulting Lead in the daytoday management of the regulatory and compliance department of Mauritius.
Main responsibilities
- Produce timely Compliance Officer reports and MLRO reports and present the reports to the clients board of directors;
- Ensuring a regular compliance follow up on the files and the effective implementation of periodic reviews;
- Test and verify the completeness of due diligence documents of clients;
- Reviewing the compliance policies procedures internal controls and compliance monitoring programme produce/present findings and make recommendations;
- Liaise with regulatory bodies including FSC and FIU;
- Assisting in the preparation of onsite inspections of Financial Services Commission;
- Assisting during independent audits of clients;
- Testing transaction monitoring of clients;
- Maintaining GoAML database for MLRO and DMLRO;
- Conducting and maintaining proper records of sanctions screening;
- Engaging actively in adoption and implementation of KYC principles and the antimoney laundering and combatting terrorism financing measures laws and guidelines;
- Assist in preparing training sessions for educating and advising clients on compliance issues coordinating personnel training requirements identifying business risks and keeping up to date with changes in AML and compliance regulatory requirements;
- Test the record keeping policies and procedures and verify the completeness of records;
- Review and monitor the daytoday work of team members;
- Manage and track tasks of team members;
- Manage compliance planner to prioritise urgent deliverables and meet deadlines;
- Manage compliance trackers and ensure data accuracy;
- Any other related work as may be requested by the direct reporting line.
#LIDR1
#LIHybrid
Qualifications :
- Degree holder in Law Management Finance or related fields or partly qualified in any relevant professional qualification e.g. CAMS ICA.
Knowledge/Skills/Experience
- At least 5 years of working experience in the corporate private fund or capital market.
- Proven experience in the regulatory framework in the global business industry.
- Knowledge of the financial services industry and applicable AML/CFT requirements.
- Disciplined diligent and with good attention to details.
- Proficient in Microsoft Office tools (Word and Excel) and ability to use IT tools and workflows effectively.
- Good behaviour and attitude and ability to work well in teams.
- Ability to diligently follow instructions given and to ask questions if anything is unclear.
- Good sense of responsibility and professionalism.
- There is a requirement to undertake mandatory training as applicable; and
- The role holder must be professionally always presented and conduct himself/herself in a businesslike manner.
Competencies
- Critical thinking and quick learner
- Team work
- Planning and organising
- Research and investigating
- Flexibility and adaptability
- Being able to work independently and under pressure
Additional Information :
All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful. These are:
- We are CLIENT CENTRIC Clients are at the centre of our world and were committed to providing expertise and specialist solutions to meet their most complex challenges.
- We are AMBITIOUS We aim high. We think and act globally seizing every opportunity to delight our clients and support our colleagues wherever in the world they may be.
- We are AGILE We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple efficient and effective.
- We are COLLABORATIVE With a curious mindset we ask the right questions to get to the right solution for our clients faster. We collaborate to win together and share our successes.
- We are ETHICAL We behave with integrity at all times and assume positive intent building trust through responsible actions and honest relationships.
Equal Opportunities for Everyone
Please let us know if theres anything we can do to make the process easier for you. You can reach us at .
Were an equal opportunity employer. All applicants will be considered for employment without attention to age ethnicity religion sex sexual orientation gender identity family or parental status national origin or veteran neurodiversity or disability status.
Remote Work :
No
Employment Type :
Fulltime
Employment Type
Full-time
