MERCERON CAPITAL LIMITED is authorised and regulated by the Financial Services Commission Mauritius as GBC, Investment Dealer and is looking for COMPLIANCE OFFICER& MLRO

PURPOSE OF ROLE: 

  • To lead, manage, and oversee all compliance aspects of the company and to ensure ongoing compliance with applicable rules, regulations, and standards of best practice.

PRINCIPAL DUTIES & RESPONSIBILITIES INCLUDING BUT NOT LIMITED TO:

  • Implement internal programs, controls, and procedures in line with local applicable financial regulations and ensure their ongoing compliance.

  • Serve as a resource on all compliance matters including drafting and standardizing compliance policies and procedures.

  • Oversight to the Conduct Risk elements of FSC (and other applicable regulatory authorities) rules and guidance.

  • Conduct timely compliance reviews.

  • Detailed updates and guidance to senior executives and the Board including the impact regulations, including AML/CTF, have on the Firm and what steps the business needs to take to ensure compliance.

  • Evaluate and review suspicious activity and promptly investigate suspected breaches of legal and regulatory requirements or internal compliance policies and standards to ensure that any material breach is appropriately resolved.

  • Assist the FSC and other regulatory bodies/exchanges with investigations.

  • Ensure that complaints by clients are promptly and fairly handled.

  • Oversee approval process for advertising and research material from the compliance perspective.

  • Implement and monitor the operation of the AML/CTF Programme.

  • Ensure staff are complying with the regulatory guidelines.

  • Provide advice to the business unit on issues of compliance.

REQUIREMENTS: 

  • Degree in Law, Finance, Banking or Equivalent.

  • Certified compliance professional with deep knowledge of the financial service industry’s standards and regulations (preferably to have a relevant Compliance Officer’s Examination).

  • Proven with at least 6 years of practical work experience as a compliance specialist.

  • Strong report writing skills.

  • Excellent command of English, both written and verbal.

  • Excellent analytical skills to understand the key points from complicated files.

  • Remuneration Package: Negotiable.