Senior Associate - Compliance Solutions

About Waystone

Role Summary

Compliance and Regulatory Duties

• Develop, maintain, and revise policies and procedures to ensure compliance with regulatory requirements.
• Draft or execute compliance monitoring and testing programmes and perform desk-based reviews.
• Ensure regulatory returns and relevant notifications are submitted on time and act as a point of contact with regulators.
• Provide outsourcing, authorization, and project support to ADGM, DIFC, and onshore firms.

Client and Risk Support

• Undertake client onboarding and KYC.
• Act as the first point of contact for internal suspicious activity reports and external reports to the financial intelligence unit and regulator.
• Investigate and respond to compliance risk-management issues with senior staff.
• Maintain accurate and up-to-date client files and manage client expectations.

Additional Duties

• Assist with or provide training on compliance, AML, and corporate governance.
• Attend and contribute to internal meetings and assist with proposals and engagement letters.
• Maintain daily timesheets, meet weekly management targets, and support selected publications or industry events.
• Keep abreast of relevant laws and regulations and contribute to continued learning and knowledge sharing.

Experience and Qualifications

• Minimum of 3 years’ experience in compliance, AML, or at a regulator.
• An internationally recognized third-level professional qualification is required.
• An AML or compliance certificate must be obtained within 3 months of joining.
• Candidates should be well versed in compliance, AML, and risk management and able to work independently.

Core Expertise

• Compliance monitoring, testing, policy development, KYC, client onboarding, regulatory reporting, and suspicious activity reporting.
• Knowledge of compliance, AML, corporate governance, risk management, and applicable ADGM and DIFC requirements.
• Commitment to continuing professional development and remaining informed about laws, regulations, internal standards, and business goals.