Executive - Regulatory & Compliance

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. 

Responsibilities: 

The Executive – Regulatory & Compliance assists and supports the Associate Manager – Regulatory & Compliance to provide a centralized compliance services to IQ-EQ clients. 

Tasks: 

• Ensure that all regulatory approval are received and followed up with regulatory bodies 
• Adhere to the relevant processes in place and mitigate financial implications in the event of process failures leading to substantial loss to IQEQ
• Ensure that the AML/CFT framework for specific clients adhered to
• Conduct Client file reviews for the purpose of ACR or special investigation
• Prepare Administrators Compliance Report (ACR) for review by Associate Manager 
• Assist in the preparation of Periodic Reviews 
• Assist the Associate Manager to conduct Client file review or investigation 
• Conduct  Due Diligence and World check for  clients 
• Work on Compliance Monitoring Report 

Key competencies for position and level: 

• Collaborative Relationships 
• Deliver Consistent results 
• Engages and develops juniors 

Key behaviors 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 
• Approachability 
• Attention to detail 
• Prioritization 
• Proactivity 
• Relationship Building 
• Taking ownership 

Education / professional  qualifications: 

• Degree holder in Law or any other relevant field 
• Companies Act - Advance 
• Financial Services Act, Securities Act and other relevant AML legislation affecting Global Business in Mauritius (e.g. FIAMLA/FIAMLR) 
• Compliance knowledge 
• Risk (Regulatory/AML) Knowledge

Background experience: 

• 2-3 years’ experience in the financial services sector preferably in compliance 

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.