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Compliance Officer and MLRO

1 month ago

Dubai, Dubai, United Arab Emirates Apex Group Full time

Compliance Officer and MLRO page is loaded

Compliance Officer and MLRO

Apply locations Dubai time type Full time posted on Posted 2 Days Ago job requisition id JR-0009256

The Apex Group was established in Bermuda in 2003 and is now one of the world's largest fund administration and middle office solutions providers.

Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide. Your career with us should reflect your energy and passion.

That's why, at Apex Group, we will do more than simply 'empower' you. We will work to supercharge your unique skills and experience.

Compliance Officer & Money Laundering Reporting Officer / Data Protection

The Role: The role will cover the Authorised CO/MLRO and DPO responsibilities for Compliance solutions in the DIFC, regulated by the DFSA and Corporate Services regulated in the ADGM.

COMPLIANCE OFFICER:

The role of the Compliance Officer will include the following responsibilities and tasks:

  • Liaising with the DFSA and ADGM for compliance-related matters and attending to required reporting
  • Keeping up-to-date with the relevant DFSA and ADGM 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 legislations
  • 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 compliance-related matters
  • Administering firm policies in relation to managing conflict of interests, personal account transactions, use of marketing material, etc.
  • Overseeing staff awareness and training on compliance matters; providing necessary compliance related training to employees and assist in enhancing compliance culture at the firm
  • Handling communications with the Authorities, obtaining approvals as required, notifying the Authorities as required for all compliance-related matters
  • Overseeing submission of regulatory returns by the firm
  • Maintaining firm 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, Regional 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 Programme
  • Monitoring, as relevant, compliance by the clients that the firm administers with applicable rules and regulations and other international guidelines and regulations; and
  • Handling other ad-hoc compliance-related projects that may be assigned from time to time.
  • Promoting a positive compliance culture through engagement with staff through training and mentorship.
MONEY LAUNDERING REPORTING OFFICER:

The role of the Money Laundering Reporting Officer will include the following responsibilities and tasks:

  • Establishing and maintaining relevant systems, controls and policies in relation to anti-money laundering laws applicable to the firm
  • Providing relevant AML training to the employees of the firm
  • Completing and submitting all regulatory reporting
  • Managing and completing any Regulatory related remediation as required
  • Reviewing and updating the firm's AML manual as required
  • Performing requisite AML-related risk assessments and due diligence checks
  • Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on AML-related matters; management of the firm's internal and external compliance reporting processes
  • Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described in DFSA/ADGM Rulebooks.
  • Acting as point of contact for internal and external Suspicious Transaction reports; and liaising with the DFSA/ADGM and other relevant authorities, as may be required, in relation to the firm's AML matters.
DATA PROTECTION OFFICER:

The role of the Data Protection Officer will include the following responsibilities and tasks:

  • Act as the contact person for all Data Subjects
  • Act as the contact person with the DIFC/ADGM Data Protection Commissioner
  • Keeping up-to-date with the relevant DIFC and DFSA/ADGM data protection regulations
  • Monitor the entity's compliance with the Data Protection Laws and any other data protection or privacy-related law or regulation
  • Advise in relation to the entity's data protection impact assessment(s) and data matrix
  • Reporting to the Group Head of Data Protection
  • Analysis of cross border transfers of confidential information
  • Analysis of privacy aspects in all relevant procedures and policies applied
  • Analysis of data events and breaches
  • Implementation of Apex Group's Data Privacy and Data Protection Policy (as amended)
  • Participation in projects covering privacy aspects
  • Communication and training to relevant employees and senior management
  • Execution and reporting of data protection tasks established by the Group Head of Data Protection
  • Coordination of other efforts to promote personal data privacy and security, as and when requested
  • Providing guidance to senior management and employees on data protection-related matters
  • Maintaining firm records and registers as required
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