naukri
Director, Compliance
IQEQ
Dubai, UAE
Director
1 months ago
Regulatory ComplianceFinancial Services RegulationDIFCADGMAMLData Protection
Free
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Regulatory ComplianceFinancial Services RegulationDIFC
About the Role
IQEQ seeks a Director of Compliance to lead the Client Compliance Services department, assisting client companies in DIFC and ADGM with structuring regulated financial services companies, authorisation applications, and compliance support.
Key Skills for This Role
Regulatory ComplianceFinancial Services RegulationDIFCADGMAMLData Protection
Responsibilities
- Assist client companies in structuring regulated financial services companies
- Assist in authorisation applications in DIFC and ADGM financial free zones and with other regulators
- Provide compliance support to licensed firms, including provision of officers for Compliance Officer, MLRO, Risk Officer, Data Protection Officer roles
- Provide ad hoc advisory and assistance to regulated firms such as compliance health check, support during regulatory risk assessment/audit, license variation
- Support clients in data protection matters
Requirements
- Assist client companies in structuring regulated financial services companies
- Assist in authorisation applications in DIFC and ADGM financial free zones and with other regulators
- Provide compliance support to licensed firms, including provision of officers for Compliance Officer, MLRO, Risk Officer, Data Protection Officer roles
- Provide ad hoc advisory and assistance to regulated firms such as compliance health check, support during regulatory risk assessment/audit, license variation
- Support clients in data protection matters
Full Job Posting
Overview
- The Client Compliance Services department assists client companies of IQ EQ (DIFC) Global Services Limited in DIFC and IQ EQ Middle East Services Limited in ADGM (IQ EQ UAE) in the following matters:
- Structuring of regulated financial services companies (selection of appropriate license activities considering client's desired business model as well as available human and financial resources);
- Assistance in authorisation applications in DIFC and ADGM financial free zones, as well as with other regulators (UAE CB, CMA etc.) leading the process end to end (except for the legal part such as drafting legal agreements or in case of a fund manager, fund's documentation);
- Compliance support of licensed firms in ADGM and DIFC, including provision of officers or deputies for the roles of: Compliance Officer, Money Laundering Reporting Officer, Risk Officer, Data Protection Officer;
- Ad hoc advisory and assistance to regulated firms such as compliance health check, support during a regulatory risk assessment/audit, license variation etc.;
- Clients support in data protection matters (policy, procedures, training, answers on the registrar's portal, handling a breach report etc.).
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