Shayne Brasse

Experience

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  Temple Consulting Ltd / Temple Professionals Ltd

  Oct 2013 - Nov 2016

  Assistant Compliance Executive

  Training-MQA approved trainer involved in the preparation and delivery of both public and in-house courses including but not limited to AML / CFT (including AML/CFT refresher yearly for licensees), Corporate Governance and FATCA, CRS.Compliance -Duties and Responsibilities:- Acting as outsourced Compliance Officer for licensees of the FSC ( Management Companies, Investment Advisors, Investment Dealer Broker, Asset Managers etc) - Assisting in-house Compliance Department of Licensees- Setting up Compliance Framework (full fledged Compliance Programme)- Performing Risk Assessment / Risk Profiling- Dealing with Compliance queries on a daily basis- Drafting of Manuals for Licensees to comply with the relevant Laws (Compliance / Procedure, Code of ethics etc)- Conducting screenings ( using World-check and other tools)- Conducting Enhanced Due DIligence when required (full analysis of hits recorded and Compliance recommendations)- Performing Independent Compliance Audits for many licensees- Day-to-day Compliance duties including but not limited to transaction monitoring, file review, vetting of KYC/CDD documents, Risk analysisClients include but are not limited to: Management Companies / Qualified Corporate Trustees, Investment Advisors, Investment Dealers, Asset / Wealth Managers among others.FATCA- Delivering Training on FATCA- Helping licensees for the categorization process and registration with the IRS and MRA- Dealing with FATCA queries (FATCA help desk)- Assisting for reporting purposes- Drafting of documents including but not limited to self-certification forms- Designing a FATCA Flowchart to provide a comprehensive tool to the industry OECD's Common Reporting Standard ("CRS")- Dealing with queries- Assist licensees to identify their obligations under CRS - Assist licensees in due diligence procedures for CRS purposes(example designing and drafting self-certification form to be used with respect to clients)-Provide training on CRS Show less

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  Summit Trust (Mauritius) Ltd

  Nov 2016 - Dec 2016

  Compliance Officer

  Responsible for the overall Compliance Function, approved by the FSC, reviewing existing policies and procedures, drafting manuals, policies, procedures, performing on the job training for staff,handling FATCA and CRS queries, implementing procedures with respect to transaction monitoring etc

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  ADS Consulting Ltd

  Jan 2017 - Oct 2020

  Acting as outsourced compliance officer approved by the FSCManaging operational, financial and strategic matters at ADS Consulting, Compliance consultancy firm. Expertise in Compliance, Risk and Regulatory matters.Managing the company day to day, devising budget and managing strategic projects.Advising Board of Directors on legal and compliance matters, particularly specific laws impacting their activities.Actively involved in the drafting and reviewing of legal and compliance documents for companies operating in different sectors, advising on new business areas from a compliance perspective, assisting internal legal & compliance departments of companies to handle queries, draft documents and implement frameworks to comply with legal requirements (example data protection, AML) among others.Extensive experience in the implementation / review of Compliance framework, including Risk Assessment & Customer Due Diligence processes, transaction monitoring, drafting and implementing policies, procedures and internal control systems. Handling FATCA & CRS matters, including classification of entities and advising clients on due diligence and reporting required.Experience in working with Management Companies, Investment Advisors, PIS licences, Banking institutions, MCSPs, Custody and other specialized licences.Managing operations at ADS Learning, Mqa approved training institution and delivering training in Legal, Compliance and Regulatory fields.MQA approved trainer in Law and providing professional training in AML and other Legal and Regulatory matters. Show less Acting as Compliance Consultant for Banking and Non-Banking licensees. Doing the job of Compliance Officer (corporate outsourced) for Non-Banking licensees (Management Companies, Investment Advisors, Investment Banking, Investment Dealer Brokers, Payment Intermediary Services, Distribution of Financial Products, funds, fund managers wealth managers etc)Extensive experience in the drafting and implementation of legal&Compliance policies,processes and procedures relating to -AML/CFT framework as a whole for licensees (local and international laws), CDD/KYC, EDD measures, have used several screening engines (worldcheck, accuity, dow jones etc), draft and conduct Risk Assessment mechanisms, transaction monitoring etc, Conducting Compliance Audits on several structures Mauritius and overseas-Corporate Governance (terms of reference for committees and estsblishing same, assist in structuring board of directors, drafting CG manual)-Ethics (draft code of ethics and implement same in the organisation)-Data Protection (EU GDPR and Data Protection Laws in Mauritius)-Fatca &Crs(classification, due diligence including drafting self certification form, manuals, reporting)-Conflict of Interest (policies and procedures)-Employment Laws(example policy and procedure for termination of employment and exit policy, employment contracts etc)-Risk Management (policies&procedures for managing operational,legal,regulatory and financial risks among others)Dealing with Legal&Compliance queries of different nature and for different licensees on a daily basisDrafting and vetting agreements, providing Compliance opinion on specific issues (proposed business, existing business, legal®ulatory issues etc)MQA approved trainer in field of Law delivering training on AML/CFT, Corporate Governance, Fatca&CRS, Confidentiality &Data Protection, Managing Conflict of Interest, Company Law. Delivered trainings to professionals of financial services sector in Mauritius and abroad. Show less

  • Manager

    Jul 2018 - Oct 2020

  • Compliance Consultant

    Jan 2017 - Oct 2020
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  Probus Group

  Oct 2020 - Aug 2021

  Senior Manager - Compliance Officer / MLRO

  Investment Manager - Category 3CHeading the Compliance function, designated Data Protection Officer and acting as Money Laundering Reporting Officer. Duties include but are not limited to:- Implementation and monitoring of the AML and Regulatory Compliance framework- Implementation and monitoring of the Data Protection framework (DIFC Data Protection Law and GDPR)- Sanctions screening- Risk Management- FATCA & CRS Compliance- Individual and Corporate KYC- Implementation and monitoring of compliance projects- Reviewing / drafting agreements and other similar legal documents Show less

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  Probus Consultants Limited

  Nov 2020 - Aug 2021

  MLRO

  MLRO approved by the DFSA

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  VISTRA

  Aug 2021 - Dec 2021

  GRC Senior Consultant

  Approved by the DFSA as Senior Manager - Compliance Officer and MLRO for several Cat 3c Authorised Firms. Providing compliance services to regulated firms in Dubai and Abu Dhabi on topics including AML/CFT, Data Protection, Regulatory Compliance, FATCA CRS etc

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  Scentia Consulting Ltd

  Nov 2021 - now

  Founder and Executive Director

  Scentia Consulting Ltd has been set up to provide tailor made governance, risk and compliance services, as well as training to regulated and non-regulated entities. In 2023, Scentia Consulting Ltd came together with two other companies to form the QURA Group and subsequently changed its name to QURA Compliance Ltd.

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  QURA

  Jan 2023 - now

  Co-Founder of QURA group, a pluri-disciplinary group of companies of 25+ collaborators focused on providing an integrated set of specialized services to accompany its clients throughout their growth journey. Compliance Consultancy firm providing consultancy services and professional training to regulated and non-regulated firms in several jurisdictions, including Mauritius and the UAE. Areas of expertise include AML/CFT, Data Protection, FATCA, CRS, Regulatory Compliance and Risk Management.

  • Co-Founder and Partner

    Jan 2023 - now

  • Partner - Governance, Risk and Compliance

    Jan 2023 - now