Compliance Officer

6 months ago

Dubai, United Arab Emirates LRI Invest Full time

Description

Title: Compliance Officer & Money Laundering Reporting Officer / Data Protection
- The Role: The role will cover the Authorized CO/MLRO and DPO responsibilities for the Fund Administrator in the DIFC.
- COMPLIANCE OFFICER:

- The role of the Compliance Officer of Apex Fund Services (Dubai) Ltd will include the following
- responsibilities and tasks:

- Liaising with the DFSA for compliance-related matters and attending to required
- reporting
- Keeping up-to-date with the relevant DFSA 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 compliance-related matters
- Administering firm policies in relation to managing conflict of interests, personal account
- transactions, use of marketing material, etc.
- 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, obtaining approvals as required, notifying the
- DFSA 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, Regional 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
- Monitoring, as relevant, compliance by the funds that the firm administers with
- applicable DFSA 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.
- Promoting a positive compliance culture through engagement with staff through training
- and mentorship
- Apex Fund Services (Dubai) Ltd. is authorised and regulated by the Dubai Financial Services Authority
- Apex Compliance Solutions Limited is authorised and regulated by the Dubai Financial Services Authority.
- MONEY LAUNDERING REPORTING OFFICER:

- The role of the Money Laundering Reporting Officer will include the following responsibilities and
- tasks:

- Establishing and maintaining relevant systems, controls and policies in relation to anti[1]money laundering laws applicable to the firm
- Providing relevant AML training to the employees of the firm
- Completing and submitting all DFSA and other regulatory reporting
- Managing and completing any DFSA related remediation as required
- Reviewing and updating the firm’s AML manual as required
- Performing requisite AML-related risk assessments and due diligence checks
- 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
- Receiving and acting upon any relevant findings, recommendations, guidance, directives,
- resolutions, sanctions, notices or other conclusions described in DFSA AML section 10
- Acting as point of contact for internal and external Suspicious Transaction reports; and
- Liaising with the DFSA and other relevant authorities, as may be required, in relation to
- the firm’s AML matters.
- DATA PROTECTION OFFICER:

- The role of the Data Protection Officer will include the following responsibilities and tasks:

- Act as the contact person for all Data Subjects
- Act as the contact person with the DIFC Data Protection Commissioner
- Keeping up-to-date with the relevant DIFC and DFSA data protection regulations
- Monitor Apex Dubai’s compliance with the DIFC Data Protection Law and any other data
- protection or privacy-related law or regulation
- Advise in relation to Apex Dubai’s data protection impact assessment(s)
- Advise in relation to Apex Dubai’s Data Matrix
- Reporting to the Group Head of Data Protection
- Analysis of cross border transfers of confidential information
- Analysis of privacy aspects in all relevant procedures and policies applied by Apex Dubai
- Analysis of data events and breaches
- Implementation of Apex Group’s Data Privacy and Data Protection Policy (as amended)
- within Apex Dubai
- Participation in projects covering privacy aspects
- Communication and training to relevant Apex Dubai employees, senior management and
- clients (where necessary)
- Execution and reporting of data protection tasks established by the Group Head of Data
- Protect

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