Senior Officer, Operational Compliance Services

IQ-EQ View all jobs

  • Port Louis, Mauritius
  • Permanent
  • Full-time
  • 20 days ago
Company DescriptionWe'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 DescriptionTo act as an integral part of new business onboarding take-on for new and existing clients. The role will be a key contributor in the preparation of new business client packs, assessing and building client profile for presentation at new business committee. Provide adequate and appropriate guidance on Onboarding enquiries raised by the Client Services Teams and actively supporting team members by providing on-the-job training and subject matters point of reference.CORE RESPONSIBILITIES:
  • Conduct comprehensive Client Due Diligence by reviewing, assessing and approving CDD documents and KYC information to ensure full regulatory compliance and risk mitigation.
  • Manage new business committee processes, including drafting meeting minutes within set timelines and ensuring new business packs are completed within 48 hours prior to committee meetings.
  • Execute screening processes (GS, WC, and RS) with rigorous quality evaluation, identifying PEP nexus and high-risk red flag factors whilst providing appropriate justification and evidence of risk mitigation measures in accordance with regulatory requirements.
  • Maintain operational controls and data integrity across Pure Client/5Series systems; ensure timely resolution of outstanding issues and gaps by liaising with Administration teams, and maintain accurate tracking and documentation of all new business activities.
  • Foster cross-functional collaboration with Client Services Teams, Compliance and Operational Support to enhance operational efficiency, support team development through mentoring, and maintain a professional working environment.
Qualifications
  • Degree holder in law or equivalent professional qualification; ACAMS certification preferred.
  • Minimum 5 years' direct experience in Client Due Diligence with demonstrated expertise in onboarding Private Wealth, Funds, and Corporate clients across diverse typologies including Funds, Companies, Trusts, Foundations, Pension Funds, and Insurance entities.
  • Proficient in AML/CTF Risk Management frameworks; competent user of Pure Client/5Series systems and Excel; capable of executing screening processes (GS, WC, RS) with rigorous quality evaluation and PEP nexus identification.
  • Excellent attention to detail with strong organisational skills; proven ability to manage multiple deadlines independently and under pressure whilst maintaining data integrity and accurate documentation.
  • Demonstrated capability to support team development through mentoring and coaching; strong cross-functional collaboration skills with adaptability to organisational change and regulatory requirements.
Additional InformationOUR COMMITMENT TO YOU AND THE ENVIRONMENTSustainability 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.

IQ-EQ