Senior Executive

vor 4 Wochen

Ebene, Deutschland LRI Invest Vollzeit

Description

Senior Associate - Compliance

Role Location: Mauritius

Employment Type: Permanent

As a Compliance Senior Associate, you will be responsible for:

- Sending the initial KYC requirements list to clients, collate KYC documentation and review all KYC documents for prospective clients/ investors and to determine and request additional/missing documentation in terms of the AML/CFT Legislation
- Liaising with clients for any additional documentation or clarification required
- Review of KYC checklists
- To conduct file reviews and request additional supporting documents as required by AML/CFT legislation
- To conduct assurance testing and review draft report to compliance officer
- To review Administrator Compliance Reports to demonstrate compliance with licensing conditions
- Risk rating of clients and investors on internal software for AML risk profiling
- To conduct risk assessment on all prospective and existing clients
- Sign off (Second Review) on Investor KYC onboarding as part of FSC’s requirement
- Assist in any other ad hoc Client KYC / Due Diligence / Compliance related tasks and processes as requested by the Head of Department
- Provision or review of documents to be provided to Independent AML Audit Support
- Coordinating FATCA/CRS Reporting
- Coordinating and supplying of audit evidence to Internal Audit Team
- Coordinating Quarterly IMF surveys
- Completion of Regulatory surveys (annual AMLQ) and submission on portal
- 4 - 5 years of working experience in Anti-Money Laundering matters
- Well-developed & up-to-date knowledge of AML/CFT
- Knowledge of Ms Excel
- Excellent soft and interpersonal skill sets
- Attention to details, and ability to be multi-tasked
- Possess personal qualities of integrity, good communication skills, discretion, tact attention to detail, strong written skills
- Light supervision
- Ability to work under pressure and deliver within agreed timelines
- Ability to deal with sensitive and confidential matters
- Ability to interact internally with the various teams

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