Compliance Executive

Overview

Compliance & Money Laundering Reporting Officer

• **COMPLIANCE OFFICER:** The role of the Compliance Officer will include the following responsibilities and tasks:
• Liaising with the regulator for compliance-related matters.
• Keeping up to date with the relevant regulatory rules, regulations and requirements.
• Review and draft of compliance and internal control procedures and ensure that they are in adherence with Compliance and other manuals, as well as all applicable legislations.
• Ensuring that the Compliance Manual and related documents are kept up-to-date.
• Providing guidance (and assistance where relevant) to senior management and employees of the client on regulatory compliance-related matters.
• Administering 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.
• Handling communications with the regulator, obtaining approvals as needed, notifying the regulator as required for all compliance-related matters.
• Overseeing submission of regulatory returns by the client.
• Maintaining 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, and the Board, as required, on compliance related matters; management of the client’s processes.
• Implementing and updating the client internal and external compliance reporting ’s Compliance Monitoring Programme, as required
• Provide support to the team on various projects, as and when needed.
• Draft policies and procedures and be a key member for clients who would be setting up their operations in the DIFC/ADGM (DFSA/ADGM regulated).
• **MONEY LAUNDERING REPORTING OFFICER**: The role of the Money Laundering Reporting Officer will include the following responsibilities and tasks:
• Liaising with the regulator and other relevant authorities, as may be needed, in relation to the client’s AML matters.
• Establishing and maintaining relevant systems, controls and policies in relation to anti money laundering laws applicable to the client.
• Providing relevant AML training to the employees of the client.
• Drafting, reviewing and updating the AML manual as needed.
• Performing requisite AML-related risk assessments and due diligence checks.
• Reporting to and liaising with the SEO and the Board, as needed, on AML related matters; management of the client’ 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 the rulebook of DFSA/FSRA.
• Acting as point of contact for internal and external Suspicious Activity/Transaction reports.
• Overseeing the firm’s KYC and related systems and processes to ensure compliance with applicable FSRA rules, AML regulations, and internal policies.
• Ensuring KYC documentation, customer due diligence, and ongoing reviews are conducted accurately, maintained appropriately, and updated in line with regulatory requirements.
• Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position.
• Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.