Compliance AnalystsLegal and Compliance @Grayson Talent
- Assisting the Compliance Officer in the implementation and oversight of internal controls within the company, including through verification of files, random checks of files.
- Support the Compliance Officer in analyzing and assessing compliance risks, and designing appropriate framework to mitigate the risks.
- Annual review of all manuals, policies and procedures of the company to ensure compliance with laws, regulations, and codes, and supporting the Compliance Officer in updating the AML/CFT procedures and policies.
- Conducting compliance audit of client files in accordance with set frequencies to ensure adherence with the applicable laws, rules and regulations, and ensure that the files hold all required information.
- Assisting client managers with client on-boarding process, and conducting a first compliance audit of new client files, and assisting client managers with compliance queries/dilemmas.
- Ongoing monitoring of client transactions to ensure adherence with the regulatory requirement.
- Understanding CRS/FATCA requirements, and assisting the Compliance Officer in the implementation of CRS/FATCA policies, and classification of clients. Conducting legal research as may be required – Identify and escalate unusual/suspicious transactions for investigation by MLRO.
Qualifications and Requirements
- Degree in Law, Law and Management, Management, preferably Masters Degree, or any related field with 2-4 years relevant experience in Compliance Department in a Management Company.
- Sound knowledge of the regulations, codes and laws governing the Mauritius Financial sector, as well as international standards.
- Good analytical skills.
- Good verbal and written communication skills.
- Ability to work independently and pro-active.
- Team player.