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chief compliance officer and mlro

2 weeks ago

Dubai, Dubai, United Arab Emirates Navira Financial Market LLC Full time 150,000 - 250,000 per year

Job description

We are seeking an experienced Chief Compliance Officer and MLRO to join SCA Category 1 multi-asset brokerage firm based in Dubai. The organisation offers a diverse array of financial products including derivatives, FX, Bullion, equities, fixed income, CFDs, listed and OTC derivatives.

The Chief Compliance Officer and MLRO will play a pivotal role in ensuring that the firm remains in full compliance with all applicable regulatory requirements, fosters a robust compliance culture, and effectively manages money laundering and financial crime risks. This position requires approval by the local regulator and will involve managing a team of four compliance professionals.

Key Responsibilities:

  1. Compliance Oversight:

  2. Develop, implement, and oversee a comprehensive compliance program to ensure strict adherence to relevant laws, regulations, and industry standards.

  3. Continuously monitor and assess the firm's compliance with local and international regulatory requirements.

  4. Regulatory Liaison:

  5. Act as the primary point of contact with local regulatory authorities, maintaining a strong working relationship and ensuring timely communication.

  6. Prepare and submit regulatory reports, filings, and requests for approval as required.

  7. AML and Financial Crime Prevention:

  8. Develop and maintain robust anti-money laundering (AML) policies, procedures, and controls to prevent money laundering and terrorist financing.

  9. Conduct regular AML risk assessments and lead the implementation of AML-related measures.

  10. Serve as the Money Laundering Reporting Officer (MLRO) and promptly report any suspicious activities to relevant authorities.

  11. Team Management:

  12. Lead, mentor, and manage a team of four compliance professionals, providing guidance and support in their daily activities.

  13. Foster a collaborative and high-performance team culture.

  14. Training and Education:

  15. Develop and deliver compliance training programs to educate employees on compliance, AML, and regulatory obligations.

  16. Ensure that all staff members understand and fulfil their compliance responsibilities.

  17. Risk Management:

  18. Identify, assess, and mitigate compliance and financial crime risks associated with the firm's diverse product offerings.

  19. Regularly review and update the compliance risk assessment.

  20. Compliance Reporting:

o  Prepare and present compliance reports to senior management and the board of directors.

o  Keep the executive team informed of regulatory developments and potential impacts on the firm.

Qualifications:

·      SCA (CISI) Qualifications in

o  
UAE Financial Rules and Regulations

o  
Combating Financial Crime

o  
Global Securities Operation

·      Bachelor's degree in a relevant field; advanced degrees or certifications (e.g., CAMS, CFE, or JD) preferred.

·      Substantial experience in compliance, with a strong background in financial services and multi-asset brokerage.

·      In-depth knowledge of ADGM and international regulatory requirements and best practices in AML and KYC.

·      Proven track record of successful engagement with regulatory authorities.

·      Exceptional leadership, communication, and team management skills.

·      Strong problem-solving and analytical abilities.

Benefits:

·      Competitive compensation package

·      Comprehensive healthcare coverage.

·      Relocation package

·      A dynamic, inclusive, and supportive work environment.