Job Purpose
This position will be of key importance within the organisation and the successful candidate will provide support to the Compliance Department based in Mauritius.
Main duties
- Performing background checks to potential new clients
- Screening of potential and existing clients to identify if they are listed as designated individuals/ entities in various sanctions regimes such as HMT, OFAC, UN, EU
- Screening of potential and existing clients to identify if they are Politically Exposed Persons “PEPs” and/or subject to negative media reports
- Reviewing existing clients to ensure the KYC documents and information are stored in ViewPoint and they are complete, up to date and compliant with the rules given by the Sovereign Group and local and foreign legislations.
- Preparing Customer Risk Assessment Reports of existing clients
- Responding to routine correspondence and enquiries from staff members • Keeping abreast of any regulatory changes
- Providing professional compliance support to staff and to ensure the smooth running of Viewpoint software (database used by Sovereign), managing and maintaining all database in Viewpoint inclusive of inputting the data, to produce correspondence and documents and maintain presentations, records, spread sheets and databases.
Additional Responsibilities for the Senior Position include: (If any)
You may be required to perform other ad-hoc tasks within the company that may be deemed necessary.
Qualification, Experience and Skills
- Excellent oral and written communication skills • Methodical and thorough approach to work
- Ability to effectively manage workload with supervision from more senior team member until experienced enough to handle workload independently
- Good at juggling tasks and prioritising/ability to work to deadlines
- An effective and diligent team member with the ability to handle solo projects • Ability to follow instructions precisely
- Attention to detail and organisational skills • Be a fast learner
- Be driven; be able to use their initiative. • Hardworking, honest and open
- Compliance experience within the Financial Services Industry is an advantage
- Ideally educated to degree level (A’ level education considered) • Good computer literacy (MS Office, Excel)
- Excellent organisational skills • Bright, confident personality
The Company reserves the right to vary or amend the duties and responsibilities of the post holder at any time according to the needs of the Company’s business.
The statements contained in this job description reflect general details as necessary to describe the principal functions of this job, the level of knowledge and skill typically required and the scope of responsibility. Itshouldnotbeconsideredanall-inclusive listing ofworkrequirements. Individualsmay perform other duties as assigned, including work in other functional areas to cover absences, to equalize peak work periods or otherwise to balance the workload.
The Sovereign Group is proud to be an equal opportunities employer and encourage diversity throughout our company. We will not tolerate discrimination against protected characteristics (gender, age, sexual orientation, race, religion, disability, parental status, maternity etc). We ensure that no member of staff or any job applicants are treated less favourably than anyone else.
Equal Opportunities apply in all our working conditions including pay, hours of work, holiday entitlement, sick pay, recruitment, training, promotion etc.
