Compliance Officer and Mlro

2 weeks ago

Abu Dhabi, United Arab Emirates Apex Fund Services Limited Full time

**Department**: Compliance

**Employment Type**: Permanent, Full Time

**Role & Key Responsibilities**:

- liaising with the FSRA and SCA for compliance and AML related matters
- keeping up-to-date with all relevant laws and regulations, including but not limited to UAE, ADGM, FSRA and SCA
- 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
- establishing and maintaining the firm’s compliance policies, procedures, systems and controls
- providing guidance (and assistance where relevant) to senior management and employees of the firm on FSRA/SCA and Apex compliance-related matters
- promoting a positive compliance culture through engagement with staff
- administering firm policies in relation to managing conflict of interests, personal account transactions, use of marketing material, etc.
- providing or coordinating relevant AML training to the employees of the firm
- performing requisite AML-related risk assessments and due diligence checks
- acting as point of contact for internal and external Suspicious Activity/Transaction reports;
- overseeing submission of regulatory returns by the firm
- preparing and filing regulatory reporting 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, the Board and Regional Compliance Officer, 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, AML Business Risk Assessment as required;
- handling other ad-hoc compliance-related projects that may be assigned from time to time
- relevant experience in a similar role incorporating the above responsibilities
- good communication skills, both written and verbal
- strong organizational skills
- strong analytical, research and investigated skills
- current knowledge and understanding of the UAE and ADGM regulatory framework
- proficient in Microsoft software (including, but not limited to word and excel)
- proactive team player with a positive attitude towards problem resolution with strong attention to detail
- ability to work under pressure and meet tight deadlines
- opportunity to be part of an expanding large global business
- a friendly, co-operative and supportive environment
- exposure to all aspects of the business, cross-jurisdiction

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.

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