Executive - Compliance
- Plaine Wilhems
- Not disclosed
- Permanent
- Added 14/10/2025
- Closing 13/11/2025
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Main Duties:
- Perform independent AML/CFT audits of reporting players such as management companies, investment funds, corporate service providers and other regulated entities, in accordance with FIAMLA, FIAML Regulations 2018, the FSC AML/CFT Code, and relevant FATF Recommendations;
- Apply a risk-based audit methodology to assess the design and operational effectiveness of clients’ AML/CFT compliance frameworks;
- Carry out walkthroughs, sample testing, interviews and control verification procedures across onboarding, due diligence, transaction monitoring, and reporting functions;
- Identify regulatory breaches, control weaknesses, and procedural lapses based on comprehensive gap assessments against current legislative and regulatory requirements;
- Assess clients’ compliance with mandatory filings (e.g. STRs, goAML registration, risk assessments, BO declarations, annual compliance returns);
- Draft, prepare and finalise audit reports or such other customised compliance reports;
- Engage in exit meetings to discuss audit outcomes and agree on remediation plans with clients;
- Conduct thematic AML/CFT reviews (e.g. screening practices, UBO assessments, sanctions implementation, transaction monitoring systems);
- Review and evaluate Business Risk Assessments (BRA) and Customer Risk Assessments (CRA) to ensure proper application of the Risk-Based Approach;
- Testing calibration and documentation of client risk scoring methodologies;
- Review and benchmark client AML/CFT policies, procedures, and internal controls to ensure alignment with evolving legal requirements and industry best practices;
- Evaluate the functioning of Compliance, MLRO and Reporting structures, independence, escalation paths, and training efforts;
- Validate internal audit, compliance monitoring and oversight mechanisms;
- Assist clients in preparing for FSC or FIU regulatory inspections through mock audits, documentation checklists, and walkthrough simulations;
- Advise on crafting effective responses to regulatory notices, warning letters, and inspection findings;
- Provide expert guidance on goAML onboarding, compliance file structuring, and evidence preparation for future regulatory scrutiny;
- Review governance registers (e.g. compliance incident logs / register of breaches, STR registers, training registers);
- Recommend controls to strengthen audit trails, board reporting and regulatory audit preparedness;
- Support clients in developing and maintaining an Annual AML/CFT Compliance Monitoring Plan and track follow-up actions from prior audit cycles;
- Contribute to the design and delivery of targeted AML/CFT training modules for compliance staff, MLROs, directors, and onboarding teams;
- Conduct ongoing research on emerging AML/CFT risks;
- Monitor changes in FATF evaluations, international blacklists, FSC circulars, and enforcement trends to proactively alert clients;
- Reporting during dashboards and Board meetings as applicable (including preparation of memos);
- Conduct any other cognate duties as assigned by the Reporting line.
Qualifications:
- Degree in Law/ Finance/ management or other related qualifications;
- Minimum 2-3 years of relevant experience;
- Experience in the financial services industry would be a plus;
- Good understanding and knowledge of FATCA and CRS will be an advantage;
- Familiar with relevant laws and regulations such as FIAMLA, FIAML Regulations, AML/CFT framework and the financial services framework.
JurisTax Ltd
- Level 3, Ebene House, Hotel Avenue, 33, Ebene Cybercity, Mauritius