Senior Compliance Officer
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Job Title: Senior Compliance Officer
About Company:
The company is a liquidity and technology provider of solutions for the crypto and foreign exchange (FX) industry. The company specializes in the sphere of B2B services and products, catering to a wide range of clients including large licensed brokers, crypto exchanges, crypto brokers, forex brokers, hedge and crypto funds, and professional managers.
Overview:
We are seeking an experienced Compliance Officer to oversee regulatory compliance for our Investment Dealer License in Mauritius. The successful candidate will ensure full compliance with FSC Mauritius regulations, AML/CFT requirements, and global financial standards while supporting the firm's operational integrity.
Key Responsibilities:
-Â Regulatory Compliance & FSC Engagement:
- Ensure full compliance with FSC Mauritius regulations, including the Securities Act, Investment Dealer Guidelines, and AML/CFT Act.
- Overview and preparation of managing regulatory reporting, licensing obligations, and compliance audits.
- Monitor regulatory developments affecting investment dealers, implementing necessary policy and procedural updates.
- Maintain and enhance internal policies, risk frameworks, and compliance manuals in line with FSC, FIAMLA, and global best practices.
- Ensure compliance with capital adequacy requirements, client fund segregation rules, and reporting obligations under the Investment Dealer framework.
-Â AML/CFT Compliance & Risk Management:
- Oversee KYC/KYB processes for retail and institutional clients, ensuring compliance with AML/CFT laws.
- Implement transaction monitoring systems to detect potential market abuse, money laundering, and suspicious trading activities.
- Conduct enhanced due diligence (EDD) for high-risk clients, including Politically Exposed Persons (PEPs) and cross-border entities.
- Prepare and submit Suspicious Transaction Reports (STRs) and Suspicious Activity
Reports (SARs) to the relevant authorities.
- Ensure adherence to sanctions screening, and FSC guidelines on financial crime prevention.
-Â Internal Compliance & Governance:
- Develop and maintain compliance policies, internal procedures, and operational controls for brokerage and investment services.
- Conduct internal audits and risk assessments to identify compliance gaps and mitigate regulatory risks.
- Train employees on AML/CFT compliance, FSC guidelines, and best practices in investment dealer operations.
- Ensure all marketing, client agreements, and financial promotions comply with FSC and anti-misleading advertising rules.
-Â Trade & Market Conduct Compliance:
- Monitor trading activities, order execution, and client fund handling to ensure compliance with FSC investment dealer regulations.
- Ensure best execution policies and market abuse prevention measures are in place.
- Assist in the review and approval of new financial instruments, trading products, and investment strategies.
Qualifications & Experience:
- Education: Bachelor's degree in Law, Finance, Business Administration, or a related field. Compliance certifications such as CAMS, ICA, CRCM, or equivalent are preferred.
- Experience:Â Minimum 5 years in compliance within an investment dealer, brokerage, or financial institution regulated by FSC Mauritius including KYB and KYC processing and analyzing.
- Regulatory Knowledge: Strong understanding of FSC Mauritius regulations, Investment Dealer License requirements, and AML/CFT laws.
- Analytical & Communication Skills:Â Ability to analyze complex regulations, assess compliance risks, and communicate regulatory requirements effectively.
- Attention to Detail: Strong skills in regulatory reporting, compliance risk management, and compliance documentation.
- Self-initiative, independent, and forward-thinking.
Key Competencies:
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Regulatory Awareness: Strong knowledge of FSC Mauritius regulations, FATF guidelines, and AML/CFT frameworks.
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Decision-Making: Ability to assess and mitigate compliance risks in trading and investment operations.
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Collaboration: Ability to work with trading, risk, legal, and operational teams to ensure regulatory compliance.
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Strategic Thinking: Ability to develop and implement compliance strategies aligned with evolving global regulations.
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Decision-Making: Capable of assessing high-risk applying risk based approach and making informed compliance decisions.
- Tech-Savvy Approach: Familiarity with KYB/KYC software (Sum and Substance/Lexis Nexis/ ComplyAdvantage etc), trading platforms (cTrader, MT4/5) etc.
- Team Collaboration: Ability to work cross-functionally with legal, tech, risk, and finance teams in a fast-paced environment.
Why Join Us?
This role offers an exciting opportunity to work in a dynamic investment brokerage environment, ensuring full compliance with FSC Mauritius regulations while supporting the company's growth and integrity.
Benefits:
- Competitive salary based on knowledge and experience.
- 24 days of annual leave (as per group policy).
- Flexible working options, including remote and hybrid work arrangements.
- Support for continuing education, blockchain certifications, and regulatory training (after one year with the company).
- Performance-based annual bonuses tied to compliance KPIs.
- Department
- Compliance
- Role
- Compliance Officer
- Locations
- Mauritius
- Remote status
- Fully Remote
- Employment type
- Full-time

Senior Compliance Officer
Are you ready to take the next step in your career? Then don't waste time and apply👇
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