Compliance Officer & MLRO
4th January 2019
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.
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.
- 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.
- 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
DubaiDubai International Financial Centre (DIFC)
Gate Village 1, Level 1, Office Unit 104, P.O. Box 482100
ae +971 (0) 4 382 6700