Compliance Manager, Assistant Vice President, State Street Global Advisors

5 days ago

Dubai, United Arab Emirates State Street Full time

Job Title: Compliance Manager, Assistant Vice President, State Street Global Advisors

Division: Corporate Compliance

Location: Dubai, United Arab Emirates

Reporting to: Vice President, Head of Compliance & MLRO, dual reporting line to Senior Executive Officer, State Street Global Advisors Limited, DIFC branch

Purpose of Role:
- To assist the Middle East State Street Global Advisors Compliance Team (“Middle East Compliance Team”) in delivering all regular activities as part of the Compliance Advisory programme and provide AML support in the Middle East region.- To actively promote a culture of Compliance- To provide day to day Compliance and AML support to the Middle East business- To provide support as the Deputy Money Laundering Reporting Officer for the DIFC branch.

Specific Duties:
To support the successful design and execution of the Middle East Compliance and Financial Crime Compliance program.- Assist the Middle East Compliance team in the assessment of Compliance and FCC risks.- Contribute to the execution and delivery of the regulatory compliance oversight programme for Middle East legal entities, ensuring compliance with the Dubai Financial Services Authority (DFSA) and Capital Market Authority (CMA) rules.- Assist in the design and oversight of the compliance monitoring programme in delivering a robust and comprehensive monitoring and surveillance plan for Middle East entities.- Develop and maintain good working relationships with the Middle East business (first line) where required, providing advisory support to assist with regulatory or AML queries, and ensuring closure of any Compliance issues within a timely manner.- Act as Compliance and AML representative in governance committees and forums and deputise for the registered Compliance Officer and MLRO where required.- Produce written reports for Senior Management on the delivery of the Compliance and AML programme, indicating progress achieved and any significant matters requiring attention- Work closely with Legal to provide advice to the business on regulatory requirements related to sales and distribution and outsourcing, taking a proactive role in driving new business initiatives- Identify training needs and facilitate successful implementation of Compliance and AML training and education for all relevant staff within the Middle East business lines.- Ensure the effective management of the local Compliance policy framework including review and input to regional/global policies, communication of policies and their key requirements to staff as required.- Conduct regulatory horizon scanning and provide guidance on regulatory implementation- Participate in and attend external regulatory forums and groups to engage with peers and industry bodies and the regulatory authorities on forthcoming regulatory change. Ensure that the outcome of such meetings are communicated to the relevant stakeholders.- Participate in client due diligence responses including Request for Proposals/Information, due diligence questionnaires, as well as presenting on the Compliance oversight programme in client due diligence meetings.- Assist in governance activities and contribute in the review of relevant materials e.g. new product or jurisdictional approval processes.- Assist in the preparations for regulatory inspections, regulatory submissions and regulatory reporting

Skills required:
- Knowledge of the UAE Federal AML and DFSA or FSRA regulatory regimes and strong regulatory interpretation skills- Knowledge of regulatory requirements and filings for the Dubai Financial Services Authority (DFSA)- Asset Management firm/Funds experience would be an advantage- Strong ability to work independently while also collaborating effectively as part of a team when needed.- Fiduciary awareness- Detail oriented- Proactive, growth mindset- Strong critical thinking, problem solving and decision making skills- Proven track record of developing and implementing compliance programs

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