Compliance Manager / MLRO

As an investment dealer with vast experience in the development of Forex activity, my client is looking for a Compliance Officer to join a global team of professionals.

Duties and responsibilities:

• Implement and manage an effective compliance program and compliance reporting calendar which is in line with laws and regulations of Mauritius;
• Serve as a resource on all compliance matters including drafting and standardising compliance policies and procedures;
• Monitor operational performances, report to Head of Compliance and make recommendations to rectify any deficiencies;
• Ensure the operational activities are in line with the policies;
• Conduct timely compliance reviews;
• Put in place and ensure effective functioning of STR procedures;
• Act as the principal point of contact for the regulators;
• Inform Director / Head of Compliance about all regulators requirements and announcements;
• Share with Director / Head of Compliance all correspondence to-from the regulator;
• Conduct in-house training and awareness on compliance and money laundering;
• Ensure Director / Head of Compliance are informed about new developments and issued guidelines;
• Ensure the staff are complying with the prescribed guidelines;
• Provide advice to business unit on issues of compliance;
• Promote a compliance culture across the company through training and awareness program;
• Assist the Director / Head of Compliance in the implementation of robust and effective compliance and anti-money laundering (AML) control within the organisation;
• Ensure compliance with the standard operating and the set guidelines;
• Check and review customers, KYC documents;
• Review the customers economic profile or portfolio and conduct regular monitoring;
• Assist the compliance and anti-money laundering functions in the formulation and review of the policies procedures, standards and guidelines;
• Provide support in relation to anti-money laundering related matters;
• Provide and analyse reports on regular basis as directed by the Director / Head of Compliance;
• Investigate, document and report any suspicious or fraudulent activities to the Head of Compliance.

Requirements:

• Proven experience as compliance officer - leading a team;
• First degree in law, management or any related field;
• Certified compliance professional.