Compliance Officer

Reference:11036 SJ
Consultant:Sone Johnson

• Ensuring compliance with relevant legislation and the development of controls and procedures in all countries in which the group operates in collaboration with the external compliance officer and service providers.
• Providing guidance and support to the company on compliance matters.
• Monitoring the compliance related training done by the employees.
• Coordinating and facilitating internal and external compliance audits and incidents as well as managing the implementation of the corrective measures.
• Conducting risk assessments on the business and its clients, as well as implementing and monitoring the appropriate mitigation measures.
• Maintaining the compliance obligations register (by jurisdiction), tracking deadlines, retaining evidence, and escalating non-compliance or high-risk matters timeously.
• Providing regular feedback to management and the board of directors in respect of any changes to the company's compliance procedures, any incidents which occurred or any reports which were made in accordance with the compliance procedures.
• Taking responsibility for the AML function which includes maintenance of the Risk Management and Compliance Programme.
• Conducting and maintaining due diligence documents, with oversight of the due diligence processes in Mauritius.
• Attending to queries and requests for KYC documentation on the company and its related entities.
• Monitoring KYC refresh/recertification cycles, tracking outstanding documents, and escalating overdue or high-risk items.
• Maintaining the FSCA Category I and II FSP compliance administration (where applicable), including maintaining evidence packs, tracking ongoing obligations, and monitoring remediation actions.
• Assisting in the FATCA/CRS reporting requirements, including maintaining classification documentation, coordinating counterparty information requests, and tracking submissions and record retention requirements.
• Supporting company secretarial activities if required, including maintaining statutory/company registers, tracking director/signatory changes, and coordinating filings with service providers.
• Supporting B-BBEE compliance and CSI initiatives as required, including maintaining documentation, coordinating annual audit inputs, and tracking corrective actions.
• Ad hoc tasks and flexible support across the various business functions as needed, including assisting with urgent requests, short-notice deliverables, and cross-functional coordination to meet business deadlines.

• 3-5 years' experience in a compliance, risk, governance, or regulated financial services environment (or equivalent).
• Working knowledge and practical experience with AML/KYC/FICA requirements, including maintenance of a Risk Management and Compliance Programme and due diligence file management.
• Experience supporting FSCA Category I and II FSP compliance administration (advantageous), including evidence packs and monitoring ongoing obligations.

• Email your comprehensive CV to .
• If you are already registered, please forward your CV and the relevant reference number to the consultant with whom you are currently registered in order to avoid duplicity on our system.
• We reserve the right to only conduct interviews with candidates of choice.
• Applicants who have not received feedback within 30 days from the closing date must please accept their application as unsuccessful.