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Compliance Officer

1 month ago

Dubai, United Arab Emirates Emirates NBD Full time

**Job Purpose**:

- Compliance is a key function, given the strict regulation faced by the firm and with the changing business and financial environment, greater effort needs to be put into Anti-Money Laundering to keep up with best practices and ensure that any money laundering or terrorist financing activity is identified and reported.
- **The role will assist in**:

- Completing the onboarding of new clients and performing ongoing Client Due Diligence reviews for the existing clients
- Clarifying AML and KYC related queries
- Monitoring mandate limits for managed funds and client portfolios.
- Monitoring business activities to ensure that they are operating within the firm’s policies and procedures.
- Reviewing regulatory updates to ensure that ENBD AM policies and procedures are up to date.
- Submitting regulatory filings and reports to the regulator, Group Compliance and Board of Directors.
- Providing training on AML and Compliance to all staff. Other day to day compliance activities.
-

**Duties and responsibilities**:

- New clients onboarded seamlessly, and existing clients have up to date documents and periodic CDD reviews completed on time.
- No breaches take place in funds and client portfolios
- No business activity is in breach of DFSA regulations or ENBD Group policies and procedures.
- Timely submission of regulatory and board level fillings.
- All staff are provided AML and Compliance training.
- Assist in day to day and ad hoc compliance tasks
- Complete the AML and CDD checks on the new clients, perform sanctions, AML and CTF screening, verify the authenticity of client documents and complete the compliance review sheet.
- For all the existing clients, check for any expired or documents and complete the periodic review compliance checklists.
- For all new discretionary portfolios and changes to the IPS for existing portfolios, the limits in ARM must be created / amended to ensure that they reflect the latest limits mandated by the client.
- Monitoring of limits and reporting any breaches to the relevant management team members.
- Coordinate with PB Ops to set up and monitor limits for PB portfolios.
- Conduct periodic (monthly, quarterly and annual) compliance reviews and report findings to management.
- Ensure that compliance and process manuals are up to date with requirements set out by the DFSA and Group Compliance.
- Annual declarations and submissions need to be made to the DFSA and DIFC. These need to be prepared and submitted in a timely manner.
- Submissions need to be made to the Board of Directors on a quarterly basis. These need to be compiled and submitted in a timely manner.
- As per regulatory requirements, all staff are to be provided with AML and Compliance training. Training is usually provided in house and training material needs to be prepared which would be used to deliver the training.
- Compliance carries out various other tasks including maintaining the safe custody, reviewing marketing material and presentations, etc. amongst many other tasks. The role would be expected to assist in these as and when requested.

**Qualifications**:

- Bachelor degree
- Professional certification compliance (Desirable)

**Experience, knowledge and skills**:

- 5 years’ experience in a similar role (Desirable)
- DFSA or other regulated jurisdiction experience (Desirable)
- Good written and oral communication skills
- Sound compliance knowledge
- Analytical and attention to detail
- Detail Oriented, able to work under pressure with a keen eye for detail.
- Good interpersonal competencies to enable good communication with people within and outside the organization.