- Carrying out compliance review of a portfolio of files as may be indicated – including ensuring compliance with statutory filing requirements to Registrar of Companies and Financial Services Commission paying fees, tax return, VAT return, etc.
- Making compliance and due diligence reports.
- Vetting of compliance reports.
- Ensuring a regular compliance follow up on the files and the effective implementation of reviews.
- Overseeing the client’s compliance and reporting to the CEO.
- Checking the completeness of due diligence documents of clients.
- Helping in the take on of new clients and assisting in the client acceptance procedures.
- Helping management in reviewing the compliance policy, procedures and internal controls.
- Liaising with the regulatory bodies (including Mauritius Financial Services Commission)
- Assisting in the pre-visit preparation and onsite visit of regulators.
- Engaging actively in adoption and implementation of KYC principles and the anti-money laundering and combatting terrorism financing measures, laws and guidelines.
- Drafting and updating Compliance and AML policies and procedures, regulatory returns and compliance reviews of company literature.
- Conducting training sessions for educating and advising staff and senior management on compliance issues, coordinating personnel training requirements, identifying business risks and keeping up to date with changes to AML and Compliance regulatory requirements.
- Updating the compliance library on an ongoing basis
- Any other related work as may be requested by the Reporting line.
RockFin builds tailor-made solutions for companies to enable their COMPLIANCE AND CONSULTING teams to be more efficient and achieve cost-effective solutions.
RockFin
Suite 306, Level 3, Ebene House, Hotel Avenue, 33 Cybercity, Ebene 72201, Republic of Mauritius.
compliance@rockfin.com