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Compliance Assistant

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:
Main responsibilities:
  • 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.
Candidate profile
  • Team player;
  • Time management;
  • Analytical and drafting of reports;
  • Interpersonal and communication skills;
  • Flexible to work after office hours.

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