Manager - Regulatory Compliance

Responsibilities:

The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer (MLRO) services. The department also assists client companies of IQEQ DIFC in structuring matters and in fulfilling clients compliance responsibilities.

In addition the Manager Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team monitor their daily tasks and to coach them.

Tasks

• Contribute in designing and implementing the AML/CFT framework for specific clients;
• Act as MLRO/ Compliance Officer for IQEQ DIFCs client companies;
• Attend board meetings to present MLRO/Compliance reports for IQEQ DIFCs client companies on at least an annual basis; To receive analyse and report Suspicious Transaction Reports as appropriate;
• Perform Client file review or special investigation as required;
• Liaison with DFSA FSRA and other regulatory bodies for assisting clients to procure regulatory approvals and for related matters;
• Provide AML/CFT training to directors and staff of client companies as appropriate;
• Conduct AML/CFT risk assessments of all products technology and business practice of client companies as appropriate;
• Analyse and disseminate the latest AML/CFT related regulatory information to clients;
• Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries;
• Provide Management Information to the Operational Risk Committee GRACC and Board as required;
• Supervise assess the Client Compliance Unit teams work and assignments as well as assist in building capabilities and allocate resources within the Client Compliance Unit team;
• Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
• Ensure protection of information assets of IQEQ DIFC and to abide by the ISMS in place at IQEQ DIFC.

Qualifications :

Education / professional qualifications

• A degree from reputable university preferably in the field of law finance or financial services or directly related to compliance functions

Background experience

• At least 810 years experience in the financial services sector and preference given to experience in compliance

Technical

• Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer

Additional Information :

At IQEQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Remote Work :

No

Employment Type :

Fulltime