Compliance Executive

3 days ago

Abu Dhabi, United Arab Emirates Apex Group Full time

**Department**: Compliance Solutions

**Employment Type**: Permanent

**Role & Key Responsibilities**:
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.

**Title**:Compliance Executive

**The Role**: Compliance & AML Consultant

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 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/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 compliance culture at the firm
- Handling communications with the DFSA/FSRA, obtaining approvals as required, notifying the regulator 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, 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 Programme, AML Business Risk Assessment as required;
- Monitoring, as relevant, compliance by the funds 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.

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 and independently;
- 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;

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

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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