Senior Executive – Compliance

Company Description

IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.

Job Description

Responsibilities:

The Senior Executive - Compliance assists and supports the Associate Manager - 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

Qualifications

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:

• 4-5 years’ experience in the financial services sector preferably in compliance

Additional Information

At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.