|Our client, a service provider in the Investment sector, is looking for a Compliance Assistant
Reporting to the Chief Operating Officer / Compliance Officer, the successful candidate will be responsible for:
- Liaise with the Sales Team for outstanding information and documents on prospective clients;
- Conduct timely compliance file reviews and prepare status reports in relation to the Group entities’ legal and regulatory requirements, with emphasis on the AML/CFT provisions and such rules enforced by the Stock Exchange of Mauritius;
- Ensure effective implementation of the internal operational and risk assessment procedures;
- Evaluate each client’s risk profile and maintenance of a list of risk graded clients;
- Proper maintenance and updating of client records;
- To fill in Register of Interest;
- Traders telephone call recording verification when needed;
- To keep abreast of changes in regulations and FSC communication and to present a summary to team on monthly basis;
- Participate in timely compliance meetings and report to Compliance Officer;
- Be the liaison person between the COO and Compliance Officer.
- Degree in Finance / Economic / Management or equivalent;
- Minimum 2 years working experience post qualification;
- Past experience in the field of ‘Compliance’ or ‘Audit’ will be advantageous.
- Team player;
- Time management;
- Analytical and drafting of reports;
- Interpersonal and communication skills;
- Flexible to work after office hours.