Compliance Officer

3 weeks ago

Dubai, United Arab Emirates TP ICAP Full time

Job Description

The TP ICAP Group is a world leading provider of market infrastructure.

Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.

Through our people and technology, we connect clients to superior liquidity and data solutions.

The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.

The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

Role Overview

TP Energy and Commodities, in Dubai, offer broking services in energy futures, natural gas, cleared coal products and renewable fuels, Crude Futures, Desk Middle Distillates, all of which cater to the specific needs of each customer. Hybrid broking is also provided throughout a range of energy products and encompasses a wide variety of electronic platforms that are tightly knit with TP ICAP Group’s voice offering.

Role Responsibilities- Assist the DFSA authorised Compliance officer and MLRO with all Compliance and AML queries.- Deal with day-to-day Compliance and AML queries from the business.- Design and implement filing systems for Dubai office clients.- Assist in the management of the relationship with the DFSA and to act as a deputy Compliance Officer and MLRO.- Act as an interface between the Compliance Department and the Business.- Assist with Client onboarding, KYC verification, and act as point of contact between the Business and the clients.- Responsible for Core Compliance by assisting in the reviewing and updating of all policies and procedures and helping brokers understand policies, practices, or the code of conduct.- Responsible for Compliance Advisory in Dubai Office.- Assist with Compliance Monitoring and the investigation process of received alerts and risk events.- As part of the Compliance Team, contributions to compliance work across other areas of TP ICAP Group.- Provide Energy & Commodities guidelines to ensure compliance with the DFSA regulations.- Identify and mitigate ongoing compliance and AML risks.- Keeping up-to-date with regulatory developments.- Help understand policies, practices, or the code of conduct.- Ensure any breaches of compliance policies and procedures are documented and addressed.- Ensure local staff completes any mandatory electronic Compliance and AML training by the required deadlines and assist with providing face-to-face required trainings.- Manage the relationship with clearing houses, exchanges (and other trading venues) and to act as a point of contact.- Assist with suspicious activity and transaction reporting to the applicable UAE government supervisory authorities and the DFSA.- Produce periodic reports to the DFSA, Head of Compliance ME, and the Board as applicable.- Ensure all Compliance and AML issues are resolved in a timely manner.- Work closely with Middle East Data Protection Officer in the investigation of data breaches and processing of sensitive / confidential data.- Support with Corporate Governance meetings and taking minutes when needed.

Experience / Competences

Essential- Demonstrated experience related to Energy & Commodities markets Compliance,- Proven knowledge of Energy & Commodities products.- Knowledge of financial regulation.- Fluent in English - Arabic is an advantage.

Desired- Positive approach to new challenges.- Proficient in Microsoft Excel, Word and PowerPoint.

Not The Perfect Fit?

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.

LI-Hybrid #LI-ASO

Location

United Arab Emirates - Gate Village - Dubai

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