State Street Global Advisors

8 months ago

Dubai, United Arab Emirates State Street Full time

The purpose of this role is 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. You will be responsible to actively promote a culture of Compliance and provide day to day Compliance and AML support to the Middle East business. This position is also responsible for providing support as Deputy Money Laundering Reporting Officer for the Dubai office.

Specific Duties

To support the successful design and execution of the Middle East Compliance and AML program.
- Assist the Middle East Compliance team in the assessment of Compliance and AML risks, taking ownership of allocated risk units.
- 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 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 the first line 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
- Provide support for Investment Oversight activities as and when required such as performing re and post trade compliance monitoring for all asset classes on funds and analysing and escalating potential portfolio guideline breaches.

. Skills required:

- Knowledge of the various UAE regulatory regimes and strong regulatory interpretation skills
- Proficient in regulatory requirements and filings for the Dubai Financial Services Authority (DFSA)
- Asset Management firm experience
- Knowledge of Investment Compliance oversight
- 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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