Compliance Officer & MLRO


Location:

Dubai

Date posted:

4th January 2019

Employment type:

Permanent

Job reference:

65500-0010772376

Staffing area:

Financial Services


Description

A leading asset management present in global markets, are recruiting for a Compliance Officer & MLRO to be based in their Dubai office. The role will oversight compliance and regulatory matters for the Middle East unit regulated by DFSA.

The Company

Our client, a leading asset management present in global markets, are recruiting for a Compliance Officer & MLRO to be based in their Dubai office. This role will be responsible for oversight of compliance and regulatory matters for the Middle East unit, regulated by DFSA. The successful candidate should be conversant in the DFSA rulebook for asset management and/or similar verticals within financial services, preferably having previously been an authorised individual by the regulator.

The Role:

  • Provide support and proactive advice, guidance, and assistance to the business for all developments in laws, rules, and regulations relevant to asset management
  • Maintain the internal compliance policies and procedures manual.
  • Maintain oversight and monitoring for matters related to insider dealing, market abuse, trading, trade allocations, execution, and gifts/entertainment.
  • Take preventative action against potential compliance issues
  • Escalating any issues which may be arise and reporting as appropriate
  • Proactively work with management to amend policies as required, systems, and/or procedures in order to avoid potential issues
  • Liaise with DFSA as key point of contact and ensure timely compliance reporting to DFSA
  • Liaise with international compliance counterparts in HQ office
  • Cooperate with internal audit in audit reviews
  • Ensure company documentation is filed to DIFC registrar in timely manner.

Candidate Requirements

  • 5-7 years' experience in financial services compliance, preferably within asset management, private banking, wealth management, or investment management
  • Knowledge of DFSA rules and regulations
  • Preferable prior authorisation by DFSA
  • Experience in anti-money laundering
  • Analytical and excellent attention to detail
  • Able to work with senior stakeholders within an international business
  • Proactive with hands on approach
  • Prior experience working with the Saudi Arabia CMA would be useful whilst not essential


Dubai

Dubai International Financial Centre (DIFC)
Gate Village 1, Level 1, Office Unit 104, P.O. Box 482100
Dubai
+971 (0) 4 382 6700
Content Manager - Financial Services
Abu Dhabi
Permanent
19th March 2019
Internal Audit Manager
Dubai
Permanent
4th March 2019
HR Director
Abu Dhabi
Permanent
17th March 2019
Investment Strategist / Market Analyst
Abu Dhabi
Permanent
14th March 2019
Treasury Manager
Dubai
Permanent
12th March 2019
Accounting Manager
Riyadh
Permanent
12th March 2019
Finance Director
Riyadh
Permanent
11th March 2019
Technical Trainer
Dubai
Permanent
10th March 2019
Full Stack Software Engineer
Dubai
Permanent
7th March 2019
CFO
Abu Dhabi
Permanent
5th March 2019
Relationship Manager - Arabic Speaker - Insurance
Abu Dhabi
Permanent
4th March 2019
Associate
Dubai
Permanent
4th March 2019
GRC Associate
Dubai
Permanent
26th February 2019
Head of Finance
Dubai
Permanent
26th February 2019
See More Jobs >