Compliance Officer and Mlro

7 months ago

Abu Dhabi, United Arab Emirates LRI Invest Full time

Description

Role Location: Abu Dhabi

Employment Type: Permanent

Reporting line: Reports into the Regional Compliance Officer - Middle East

Role and Responsibilities include:
Setting, establishing and monitoring adherence to processes, policies and procedures to meet -compliance, legal and regulatory requirements.

**Responsibilities**:
COMPLIANCE OFFICER
- Overseeing licensing requirements and regulatory obligations while ensuring that compliance activity takes account of all relevant legislation and ADGM/FSRA related activities;
- Handling communications with the Regulator(s), obtaining approvals as required, notifying the Regulator as required for all compliance-related matters;
- Preparing and submitting reports to regulatory authorities;
- Keeping up-to-date with all relevant laws and regulations and communicating regulatory changes and developments to senior management and staff;
- Oversight and management of the regulatory risks within the business;
- Review of the compliance and internal control framework and ensuring that they are in adherence with the firm’s and Apex Group’s Policies and Procedures and all applicable legislations;
- Ensuring the effective implementation of the Compliance Monitoring Programme and performing monitoring activities;
- Ensuring that non-compliant findings are tracked with the respective business function managers until resolved;
- Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on compliance related matters;
- Preparing and submitting compliance reports to management and various committees and governance structures within the Apex Group;
- Providing advice, and assistance where relevant, to senior management and staff on Apex Group compliance-related matters;
- Maintaining a register of complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;
- Providing assistance and support in satisfying staff training and development needs and plans to new regulations and legislation;
- Preparing training material and deliver training in compliance with regulatory obligations and business procedures;
- Promoting a positive compliance culture through engagement with staff through training and mentorship.

MONEY LAUNDERING REPORTING OFFICER
- Acting as the Firm’s MLRO, establishing and maintaining the Firm’s Anti Money Laundering policies, procedures, systems and controls in compliance with the Regulatory Anti Money Laundering rules and all relevant legislation applicable in the jurisdiction and Group Apex Policies;
- 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;
- Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described by the Regulator;
- Monitoring suspicious transactions, identify potential sanctions and submit reporting as required;
- Liaising with the Regulator and other relevant authorities, as may be required, in relation to the firm’s AML matters; and
- 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.

DATA PROTECTION OFFICER
- Act as the contact person for all Data Subjects
- Act as the contact person with the relevant Data Protection Commissioner
- Keeping up-to-date with the relevant data protection regulations
- Monitor the Firm’s compliance with the Data Protection Law and any other data protection or privacy-related law or regulation
- Advise in relation to the Firm’s data protection impact assessment(s) and data matrix
- Analysis of cross border transfers of confidential information
- Analysis of privacy aspects in all relevant procedures and policies applied by the Firm
- Analysis of data events and breaches
- Implementation of Apex Group’s Data Privacy and Data Protection Policy
- Communication and training to employees, senior management and clients (where necessary)
- Providing guidance to senior management and employees on data protection-related matters
- Maintaining firm records and registers as required

Skills Required:

- Financial services experience of 5 to 7 years working within a regulated financial environment.
- Understanding of the relevant regulations in UAE and International AML Laws.
- Relevant professional qualifications e.g. AML, CDD, Compliance, Risk, or equivalent.
- Experience in Customer Due Diligence (CDD/KYC) on various international corporate structures and risk profiles.
- Excellent communication and organisational skills.
- Experienced leader able to develop team

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