Compliance Manager

4 days ago

Dubai, United Arab Emirates CPT International Full time

**About Us**

We provide access to global financial markets and a truly international team of experts. Our mission is to create a community that appreciates convenience, inclusivity, and information exchange to empower Traders and Introducing Brokers to achieve maximized value.

The company is an industry leader who is looking to recruit an ambitious and drivenCompliance Manager on a permanent basis. The firm has been going through a period

of significant growth over the last three years, through both acquisition and organic growth,

and the ongoing expansion trajectory is still increasing. Working within a supportive and

challenging environment, employee development and progression is at the forefront of

their working culture, so this position will be offered excellent ongoing opportunities.

You will be responsible for supporting the Group in establishing, improving, and maintaining

a robust governance and compliance framework. You will collaborate with senior

management and support stakeholders to ensure risks are effectively identified, managed,

and monitored. You will support a global business in FX/CFD trading.

It will be important that you have an interest in analysing material and

problem solving and are able to build deep relationships with business stakeholders as well

as risk, compliance, and legal teams.

The role will be based in Dubai.

**Responsibilities**
- Oversee the of Compliance and Money Laundering dimensions, the arm authorised under the South Africa
- Develop all required documents needed for the South Africa regulatory body and keep them up to date.
- To develop and maintain a risked based compliance monitoring plan in order to ensure a comprehensive Compliance service.
- Monitor and keep the Board and Management advised of current and pending relevant regulatory requirements
- To ensure that Management is aware of its responsibilities and obligations in conducting business in conformity with such rules and regulations so as to maintain clients reputation.
- To report immediately to the Board and Chief Executive all material and significant breaches or potential breaches of regulations.
- Maintain a programme of training relevant to staff that is monitored and areas of weakness are raised and dealt with.
- Maintain a good working relationship with the regulator.
- Prepare reports for the Board and Chief Executive and, where requested, to the SA regulatory body including reports involving suspicious transactions.
- Coordinate with the Internal and External Auditors in relation to Compliance matters and ensure timely implementation of all audit recommendations related to Compliance.
- To review, advise and assist the Compliance team with the investigations of any complaints
- To complete regular reviews of Complaint Handling
- Prepare, update and amend where necessary any legal T&Cs and policies of the business.

Responsible for Tracking and reporting of monthly figures to the Board.
- _To maintain the ‘Fit and Proper’ Requirements as required by the regulatory framework and subordinate legislation (as amended from time to time);_
- _Implement KYC management and procedures that comply with all key regulations, including: _
- _Assist the client facing team for the onboarding of new clients and investors, for local and cross jurisdictional structures;_
- _Implement customer risk rating criteria, i.e. geographic risk, PEPs, complex situation, adverse media, fraud, and other risks, with CDD/EDD management and procedures for customers;_
- _Perform periodic screening and maintain logs for high risk individuals and entities;_
- _Report to the senior management to ensure the high risk matters receive appropriate level of attention escalation and sign off;_
- _To take on prevention and monitoring responsibilities in relation to money laundering, including: _
- _ensure the money laundering prevention requirements are incorporated into internal procedures and communicated to staff;_
- _ensure adherence to the AML/CFT management framework in identifying, controlling, monitoring and reporting suspicious and unusual transactions on a daily basis;_
- _conduct regular review on AML/CFT legislations and regulations and implement changes;_
- _report and escalate to the senior management when necessary;_
- _Liaise with external counsel/ advisers, if necessary, on business-related matters;_
- _Support the senior management with the front office in devising and operating effective 'first line of defence' controls;_
- _Conduct review of any marketing materials prior to distribution to ensure they are clear, fair and not misleading;_
- _Investigate any transactions flagged as a result of trade surveillance for occurrences of potentially abusive behaviour;_
- _Trade surveillance activities and compliance testing, in terms of both transaction monitoring and surveillance;_
- _Assess the impact of legislative changes to the financial markets sector and ensure the surveillance systems are appropriate

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