Team Leader - Compliance

The Team Leader will support the Manager in ensuring that AXIS meets all the regulatory and legal obligations, with a particular focus on AML/CFT monitoring, regulatory reporting, internal reporting, inspection readiness and driving compliance-related projects.

The Team Leader role requires a good understanding of the local regulatory landscape, leadership capabilities and excellent analytical, communication and organizational skills.

KEY RESPONSIBILITIES 

1. Regulatory Compliance & Reporting

• Assist in the preparation, review, and timely submission of statutory and regulatory reports to the FSC, FIU, CBRD, MRA, and other relevant authorities.
• Interpret new and existing laws of Mauritius, regulations, and guidance to assess their impact on the business.
• Interpret relevant laws of other jurisdictions as may be required and assist in the implementation of the different requirements.
• Maintain up-to-date registers and compliance calendars.

• 2. AML/CFT Framework Monitoring
• Support the implementation and ongoing monitoring of the AXIS AML/CFT policies, procedures and controls.
• Conduct transaction monitoring reviews and suspicious transaction identification.
• Oversee client risk assessments and KYC file reviews.
• Assist in the preparation of AML/CFT training content and deliver sessions when needed.

• 3. Regulatory Inspections & Audit Support
• Coordinate and support all regulatory inspections and internal/external audits.
• Assist in the collation and submission of inspection-related documents.

• 4. Monitoring & Testing Program
• Assist the execution of the annual compliance monitoring program.
• Identify potential non-compliance issues, propose corrective actions, and follow up on their implementation.
• Maintain and update compliance risk registers.

• 5. Project Management
• Lead or participate in compliance-related projects (e.g., system upgrades, policy rollouts, remediation programs).
• Ensure deliverables are met within set timelines and report progress to the Manager.
• Assist/Participate in digital transformation initiatives within the compliance function.

• 6. Team Leadership & Development
• Supervise and mentor junior compliance staff.
• Oversee task delegation and monitor quality of work.
• Assist Manager in providing training and development guidance within the compliance team.
• To promote a positive attitude and develop team spirit.;
• To develop initiatives to enhance team efficiency and effectiveness.;
• To provide constructive feedback to team members.;
• To address and resolve conflicts among team members, fostering open communication.
• To be accountable for teams operational performance where appropriate.
• To assist Manager/Assistant Manager in conducting performance reviews of juniors.
• To ensure accuracy and quality checks on all deliveries by the team.

• 7. Client liaison and Compliance Coordination
• To be the point of contact for clients as appropriate.;
• To liase with clients and other parties on compliance matters.;
• To proactively resolve clients issues and escalate as required.;
• To assist in scheduling the Client Risk Assessment Forum on a quarterly basis and help in the preparation of the relevant documentation for the meeting.
• To collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.;
• To coach junior staff and provide training on technical aspects and internal compliance practices and procedures;
• To promote a positive attitude and develop team spirit;
• To develop initiatives to enhance team efficiency and effectiveness;
• To provide constructive feedback to team members;
• To address and resolve conflicts among team members, fostering open communication;
• To handle and/or assist Manager/Assistant Manager in coaching junior staff;
• To be accountable for teams operational performance where appropriate;
• To Manage conflicts among team members and foster an environment of open communication;
• To assist Manager/Assistant Manager in conducting performance reviews of juniors;
• To ensure accuracy and quality checks on all deliveries by the team;

• To monitor, and coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.;

• 7. Regulatory Research, Reporting & Compliance Support

• Assemble research, compile data and prepare reports (where appropriate).;

• To proactively identify areas for improvement in compliance processes and procedures;

• To ensure timely reporting and achievement of monthly billing targets;

• To accept responsibility for actions and decisions made within the team;

• Writing and/or assisting in writing articles on Compliance matters.;

• To act as Compliance Officer, Money Laundering Reporting Officer (MLRO) or Deputy MLRO on client entities;

• To ensure the client entities are compliant with the AML regulatory framework and policies and procedures of the entities.;

• To act report to client entities at least once on an annual basis;

• To identify non-compliance matters and escalate to the board of client entities and to senior management of AXIS if the issues persist;

• Any other cognate duties that may from time to time be required which are appropriate to the role and business requirements.

QUALIFICATIONS & SKILLS

• Holds a degree holder in Law, Finance, Business, & Management or any other relevant compliance related qualifications.;
• At least 5 years of relevant working experience in the compliance field within the Global business sector, with at least 2 years in a senior or supervisory role.;
• Competent in motivating and driving a team.;
• Can effectively coach and train subordinates.;
• Good analytical and problem-solving skills.;
• A high level of accuracy and attention to detail.;
• Is a clear communicator with excellent written and verbal communication skills. Is able to draft effective communications (emails, letters, memos, instructions) with good grammar, spelling & proofreading skills.;
• Strong organizational and multi-tasking skills.;
• Ability to work in a fast- moving, demanding, high-pressure environment and maintain confidentiality.;
• Highly motivated with the ability to work well as an individual and in team.
• Computer Literate: Ms. Office Word, Excel, PowerPoint & Outlook.