Assistant Manager – Regulatory Compliance

Fund services | Corporate | Capital markets | Private client | Regulatory & Compliance 

We help clients succeed by unlocking new value through expertise, trust and scale. We deliver solutions that solve complex challenges faced by asset managers, financial institutions, corporates, high net-worth individuals and family offices. 

With a curious mindset, we ask the right questions to get to the right solution, faster. We collaborate to win together, sharing successes and shaping the future of our global business. Our culture of support and recognition provides the tools and opportunities for you to grow, while unlocking the most value for our clients and making your mark with Ocorian. 

Expertise: We deliver specialist, tech-enabled solutions for our clients grounded on deep industry expertise. 

Trust: We’re a trusted partner to over 8,000 clients globally. We are proud to have long-lasting partnerships with our clients. 

Scale: With more than 1,500 colleagues, we operate across 20+ countries, our scale enables us to support our clients globally and locally, providing a seamless client experience across borders and service lines. 

What’s In It For You 

• Competitive salary 
• We are globally hybrid with 2 days in office (please check the specifics for this role during interview process)
• Flexible working hours 
• Private Pension Plan fully paid by the company after probation
• Private medical insurance with Catastrophe cover fully paid by the company
• Employee recognition program and spot bonuses 

Purpose of the job

Assist and support the Compliance Officer and Money Laundering Reporting Officer (‘MLRO’) in the day-to-day operations of the Compliance Function of regulated clients in the implementation and management of approved policies and procedures.

Act as Compliance Officer/MLRO of regulated clients.

Assist and support the manager in the day-to-day management of the regulatory and compliance department of Mauritius.

Main responsibilities

• Produce timely Compliance Officer reports and MLRO reports and present the reports to the clients’ board of directors;
• Ensuring a regular compliance follow up on the files and the effective implementation of periodic reviews;
• Test and verify the completeness of due diligence documents of clients;
• Assist in reviewing the compliance policies, procedures, internal controls and Compliance Monitoring Programme;
• Assisting the Manager for liaison with regulatory bodies;
• Assisting in the preparation of onsite inspections of Financial Services Commission;
• Assisting during independent audits of clients under portfolio;
• Testing transaction monitoring of clients under portfolio;
• Maintaining GoAML database for MLRO and DMLRO;
• Conducting and maintaining proper records of sanctions screening;
• Engaging actively in adoption and implementation of KYC principles and the anti-money laundering and combatting terrorism financing measures, laws and guidelines;
• Assist in preparing training sessions for educating and advising clients on compliance issues, coordinating personnel training requirements, identifying business risks and keeping up to date with changes in AML and compliance regulatory requirements;
• Test the record keeping policies and procedures and verify the completeness of records on NAVONE;
• Review and monitor the day-to-day work of Analyst – Regulatory and Compliance;
• Any other related work as may be requested by the direct reporting line

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• Degree holder in Law, Management, Finance or related fields or partly qualified in any relevant professional qualification, e.g., CAMS, ICA.

Knowledge/Skills/Experience

• At least 5 years of working experience in the corporate, private, fund or capital market.
• Proven experience in the regulatory framework in the global business industry.
• Knowledge of the financial services industry and applicable AML/CFT requirements.
• Disciplined, diligent and with good attention to details.
• Proficient in Microsoft Office tools (Word and Excel) and ability to use IT tools and workflows effectively.
• Good behaviour and attitude, and ability to work well in teams.
• Ability to diligently follow instructions given and to ask questions if anything is unclear.
• Good sense of responsibility and professionalism.
• There is a requirement to undertake mandatory training as applicable; and
• The role holder must be professionally always presented and conduct himself/herself in a business-like manner.

Competencies

• Critical thinking and quick learner
• Team work
• Planning and organising
• Research and investigating
• Flexibility and adaptability
• Being able to work independently and under pressure

All staff are expected to embody our core values that underpin everything that we do and that reflect the skills and behaviours we all need to be successful.  These are:

• We are CLIENT CENTRIC – Clients are at the centre of our world, and we’re committed to providing expertise and specialist solutions to meet their most complex challenges.
• We are AMBITIOUS – We aim high. We think and act globally, seizing every opportunity to delight our clients and support our colleagues - wherever in the world they may be.
• We are AGILE – We act on our initiative to get things done for our clients. Our independence gives us the flexibility and freedom to keep things simple, efficient and effective.
• We are COLLABORATIVE – With a curious mindset, we ask the right questions to get to the right solution, for our clients faster. We collaborate to win together and share our successes.
• We are ETHICAL – We behave with integrity at all times and assume positive intent, building trust through responsible actions and honest relationships.

Equal Opportunities for Everyone

Please let us know if there’s anything we can do to make the process easier for you. You can reach us at [email protected].

We’re an equal opportunity employer. All applicants will be considered for employment without attention to age, ethnicity, religion, sex, sexual orientation, gender identity, family or parental status, national origin, or veteran, neurodiversity or disability status.