Executive - Regulatory & Compliance

The Executive – Regulatory & Compliance assists and supports the Associate Manager – Regulatory & 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 

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: 

• 2-3 years’ experience in the financial services sector preferably in compliance