Compliance Executive

Compliance & Money Laundering Reporting Officer Compliance Officer

• Liaising with the regulator for compliance‑related matters.
• Keeping up to date with the relevant regulatory rules, regulations and requirements.
• Reviewing and drafting compliance and internal control procedures, ensuring they are in adherence with compliance manuals and applicable legislation.
• Ensuring the Compliance Manual and related documents are kept up to date.
• Providing guidance to senior management and employees on regulatory compliance matters.
• Administering policies related to conflict of interests, personal account transactions, and use of marketing material.
• Overseeing staff awareness and training on compliance matters; providing necessary training to employees and enhancing compliance culture.
• Handling communications with the regulator, obtaining approvals as needed, and 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, including registers in relation to breaches, complaints, suspicious transactions, training, etc.
• Reporting to and liaising with the SEO and the Board on compliance matters; managing the client’s processes.
• Implementing and updating the client’s internal and external compliance reporting and Compliance Monitoring Programme as required.
• Providing support to the team on various projects as needed.
• Drafting policies and procedures and serving as a key member for clients setting up operations in the DIFC/ADGM (DFSA/ADGM regulated).

• Liaising with the regulator and other relevant authorities in relation to the client’s AML matters.
• Establishing and maintaining systems, controls and policies in relation to anti‑money laundering laws applicable to the client.
• Providing relevant AML training to 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 on AML matters; managing the client’s internal and external compliance reporting processes.
• Receiving and acting upon 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.