- You will contribute to our client’s success by structuring and monitoring fit for purpose regulatory compliance and anti-money laundering programs. In addition, you will provide on-going support on all compliance and anti-money laundering matters to clients to help them meet their regulatory obligations.
- You will contribute to the Firm’s success by supporting the senior team in execution of client mandates and helping with origination of new business.
DUTIES AND RESPONSIBILITIES:
We have an entrepreneurial environment and our focus is on delivering results for our clients. We believe in teamwork and will provide you the required support and tools to succeed in your role. Your specific duties and responsibilities will include:
- Functioning as outsourced Compliance Officer and Money Laundering Reporting Officer to clients.
- Functioning as the liaison officer with the relevant regulator for clients in your portfolio.
- Providing day to day support to clients in executing compliance deliverables.
- Drafting, executing and supporting the compliance monitoring and testing program and performing desk reviews and test checks to assess the status of compliance.
- Assisting clients in obtaining their desired regulatory license/s.
- Drafting fit for purpose compliance and anti-money laundering policies and procedures.
- Assist in providing training on compliance, AML and corporate governance topics.
- Keeping abreast of relevant laws, rules and regulations and ensuring that any changes to these are
reported and reflected in the relevant policies, procedures and compliance programs.
- Assisting in promoting the firm at various industry and promotional events.
SKILLS AND EXPERIENCE Experience (is essential to any successful application):
- Direct experience in dealing with regulatory authorities such as the DFSA, ADGM, QFCRA or the FCA.
- Between 8-14 years’ overall experience with 6 or more years of direct compliance and/or risk management experience within the financial services industry.
- Direct experience in creating and implementing regulatory compliance programs within a financial services organization.
- Proven track record of policy and procedures drafting and implementation and ongoing execution of requirements.
- Proven track record of compliance program requirements, including testing and risk assessment protocols.
- Minimum bachelor’s degree from a leading university with concentration preferably in law, finance, accounting, economics, or business.
- Post graduate degree is preferred.
- Candidates with CAMS, CISI or ICA certifications are highly desired.
- Strong oral and written communication skills, including the ability to effectively interact at all levels within the firm and with clients and regulators.
- Motivated self-starter with demonstrable ability to work independently and problem solve.
- Proven ability in building partnerships, collaborating, and influencing clients, team members and regulators.
- Demonstrable organizational and time management skills.
- Ability to work well in a fast-paced environment.
- We offer competitive salaries and benefits package.
- We offer an excellent working environment and opportunities for growth.
- All staff are encouraged and provided support to seek advancement towards partner status.
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