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Compliance Executive

Company Name: Apex Compliance Solutions
Employment Type:Full Time
Location: Abu Dhabi
Experience: 2-5 years
Degree: Bachelor
Nationality: Any
No. Of Vacancies:1
Job Description:
The successful applicant will be part of the Apex Compliance Solutions service offering and performing and providing Compliance, AML, regulatory risk services to regulated entities across ADGM and DFSA, with scope for exposure to other international jurisdictions as part of the wider global compliance servicing.

The role of the Compliance & Money Laundering Reporting Officer will include the following responsibilities and tasks:
Liaising with the DFSA/FSRA for compliance-related matters
Keeping up to date with the relevant DFSA/FSRA rules, regulations and requirements
Review of compliance and internal control procedures and ensuring that they are in adherence with the firm’s Compliance and other manuals, as well as all applicable legislation
Ensuring that the firm’s Compliance Manual and related documents are kept up to date
Providing guidance (and assistance where relevant) to senior management and employees of the firm on DFSA/FSRA compliance-related matters
Administering firm policies in relation to managing conflict of interests, personal account transactions, use of marketing material, etc., 
Establishing and maintaining relevant systems, controls and policies in relation to anti-money laundering laws applicable to the firm
Providing or coordinating relevant AML training to the employees of the firm
Reviewing and updating the firm’s AML manual as required
Performing requisite AML-related risk assessments and due diligence checks Acting as point of contact for internal and external Suspicious Transaction reports
Liaising with the relevant authorities, as may be required, in relation to the firm’s AML matters.
Overseeing staff awareness and training on compliance matters
Providing necessary compliance related training to employees and assist in enhancing a culture of compliance 
Handling communications with the DFSA/FSRA, obtaining approvals as required and notifying the regulator as required for all compliance-related matters
Overseeing submission of regulatory returns by the firm
Maintaining records and registers as required under applicable rules and regulations, including, without limitation, registers in relation to breaches, complaints, suspicious transactions, training, etc.,
Reporting to and liaising with the SEO, Group Compliance Officer and the Board, as required, on compliance related matters
Management of the firm’s internal and external compliance reporting processes
Implementing and updating the firm’s Compliance Monitoring Program
AML Business Risk Assessments as required
Handling other ad-hoc compliance-related projects that may be assigned from time to time. Monitoring, as relevant, compliance by the funds that the firm administers with applicable rules and regulations and other international guidelines and regulations; and ensure a high standard of delivery to clients
Manage production of client daily, weekly, monthly, quarterly and annual requirements
Ensure deliverables are produced and reviewed to a high standard and delivered in a timely manner
Ensure deliverables are produced in line with the appropriate regulatory standards, local regulations, policies and procedures
Build excellent working relationships with clients
Strong interpersonal, team work and attention to detail
Ensure all work undertaken complies with the client’s documentation, relevant regulatory requirements and anti-money laundering regulations
Review and recommend changes to client deliverable processes.

Skills Required:
Has relevant experience in a similar role incorporating the above functions,
Quick to grasp and implement knowledge
Has strong PC skills including Word, Excel and Powerpoint
Possess excellent interpersonal and written communications skills
A proactive team player with a positive attitude towards problem resolution with strong attention to detail
Ability to work under pressure and meet tight deadlines

What you will get in return:
A high level of visibility within a large organisation on an upwards trajectory
The ability to define marketing processes to drive innovation and have a tangible impact on the business
Be part of a dynamic and fast-paced team that makes a genuine impact on the business
Exposure to all aspects of the business, cross-jurisdiction
The opportunity to innovate, bring discipline to brand activity and really make a difference