Compliance Officer
Full Job Description
Our client has areas of coverage across all brokerage products. The brokerage is expanding its product offering and are looking for a compliance officer to head up this area in Dubai.
The role will require strategic input into several key areas and will be operate at a senior level covering all areas of regulatory work. Working closely with the Global Head of Compliance in London and COO in Dubai.
Key tasks will be:
* Day to day advice on regulations and operational issues.
* suspicious transaction reporting
* Advise on DFSA and DIFC rules and regs
* Advice on management of conflicts of interest and breaches
* Review and approval of new products. Due Diligence. AML checks.
* Assessment of any proposed regulatory changes. New employee inductions and training.
* Significantly upgrade policies and procedures/ controls.
* Conduct risk based transaction and theme based monitoring
* Undertake disclosures and review of announcements and press releases.
* Assist with improvement of management information/reporting.
* Assist with routine regulatory notifications and build local relationships with regulators
Background and Qualifications
* The candidate will have been in a monitoring or advisory role providing advice and support to the varied brokerage products
* Must be familiar with DFSA rules
* English and Arabic speaking
* Must be proactive and collegiate in approach and be willing to assist the business and help it grow.
* Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.
* This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management.
If you are interested in finding out more about this role. Please contact Richard Aldridge on +44 2033015822 by phone or richard.aldridge@blackswangroup.com
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