Executive - Financial Crime Control , Risk and Compliance

IQ-EQ.com

Office

Port Louis, Mauritius

Full Time

Company Description

We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.  We employ a global workforce of 5,800+ people across 25 jurisdictions and have assets under administration (AUA) exceeding US$750 billion. We work with 13 of the world’s top-15 private equity firms.

Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.

Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. 

We’re driven by our Group purpose, to power people and possibilities.

Job Description

Responsibilities

The Executive – Financial Crime Control, Risk and Compliance, will provide support to the attainment of the overall objectives of the Financial Crime Control Unit.

Tasks

To assist in the review of Group Compliance and Risk policies and drafting of local policies, procedures, processes, guidance notes as appropriate
To assist in conducting an AML/CFT risk assessment of all products, technology and business practice at IQ-EQ Mauritius cluster (“IQ-EQ MU”) in accordance with an agreed plan
To provide support in identifying, analysing and disseminating the latest regulatory information
To assist in providing day to day advice and support to Client Compliance, Client Delivery and other stakeholders on specific queries arising from the formulation, implementation and interpretation of the Compliance policies, best practices and processes
To conduct compliance monitoring and/or investigations in accordance with the annual Review Planner and reporting process for onward communication to the reporting lines and Senior Management
To assist in the preparation and reporting for Operational Risk Committee, Country Risk Committee, Country Management Team Meeting, GRACC, QBR and Board
To assist in the review of third party reliance (Omnibus Accounts and EIC)
To review CAPP requests
To assist in the preparation and delivery of in-house formal induction training and online e-learning training packs
To assist MLRO/Deputy MLRO in reviewing internal STR reports, conduct internal investigations and draft external STR
To assist in the investigations of AML/CFT breaches
To assist in Risk Control Self-Assessment Workshops
To maintain Compliance Monitoring Registers
To provide support in other compliance and risk management deliverables
To ensure protections of information assets of IQ-EQ MU and to abide by the ISMS in place at IQ-EQ MU

Qualifications

Key behaviours 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 and Attention to detail
Prioritisation
Proactivity
Strong analytical mindset and ability to think outside the box
Excellent communication and presentational skills
Good planning and organisational skills
Strong budget management and reporting skills

Education / professional qualifications

A degree from reputable university, preferably in the field of finance or financial services or directly related to compliance and risk functions with sufficient work experience to compensate
A postgraduate degree or professional qualification in the field of Risk Management would be an advantage

Background Experience

At least 2 years’ experience in the financial services sector and preference given to experience in Risk Management and Compliance
Experience in a similar role would be an advantage

Technical

Good knowledge of compliance, risk and of regulatory framework

Computer / program knowledge

Very good Office tools skills and good knowledge of Excel modelling tools

Additional Information

OUR COMMITMENT TO YOU AND THE ENVIRONMENT

Sustainability is integral to our strategy and operations. Our sustainability depends on us building and maintaining long-term relationships with all our stakeholders – including our employees, clients, and local communities – while also reducing our impact on our natural environment.

There is always more we can, and should do, to improve – whether in relation to our people, our clients, our planet, or our governance. Our ongoing success as a business depends on our sustainability and agility in a changing and challenging global landscape. We’re committed to fostering an inclusive, equitable and diverse culture for our people, led by our Diversity, Equity, and Inclusion steering committee.

Our learning and development programmes and systems (including PowerU and MyCampus) enable us to invest in growing our employees’ careers, while our hybrid working approach supports our employees in achieving balance and flexibility while remaining connected to their colleagues. We want to empower our 5,800+ employees - from 94 nationalities, across 25 countries - to each achieve their potential. Through IQ-EQ Launchpad we support women managers launching their first fund, in an environment where only 15% of all private equity and venture capital firms are gender balanced.

We’re committed to growing relationships with our clients and supporting them in achieving their objectives. We understand that our clients’ sustainability and success leads to our sustainability and success. We’re emotionally invested in our clients right from the beginning.