Compliance Officer / MLRO

Job Description

1. Design, review and revise compliance policies, procedures, and controls to meet applicable legislation, regulatory requirements and best practice standards.
2. Client/business partner onboarding, trade surveillance, conduct of business monitoring, general compliance monitoring, training and regulatory reporting as required.
3. Promote, demonstrate and embed a strong compliance culture.
4. Conduct due diligence checks and ongoing AML reviews for existing clients and business partners.
5. Act as key person for the oversight of all AML/CFT and sanctions matters, including implementation of effective and sustainable controls.
6. Oversee systems and controls to identify and mitigate potential areas of AML compliance vulnerability and risks/gaps and develop/implement pragmatic corrective action plans.
7. Prepare reports for senior management, auditors and external regulatory bodies as appropriate.
8. Keep up to date with all relevant regulatory changes as well as evolving best practices, carrying out gap and business impact analysis.
9. Provide ongoing and ad-hoc support on compliance queries (both from internal and external stakeholders).
10. Review marketing materials to ensure compliance with regulatory and scheme requirements.
11. Assist with the identification, evaluation, monitoring and mitigation of operational risks; and proactively suggest improvements.

The Successful Applicant

1. Minimum 5 years overall industry experience with 2 or more years of direct wealth management/investments compliance and AML experience within the ADGM or DFIC category 3C experience (Preferred experience in compliance consultancies working with CAT 3C firms).
2. Technical knowledge of applicable rules and regulations, including AML/CTF/Sanctions, Conduct of Business, FATCA/CRS, and Data Protection.
3. Excellent English written and verbal communication, strong analytical, problem solving and organization skills.
4. Qualified CISI/ACAMS professional.
5. Ideally have a degree from a reputable institution.
6. Be hands-on, detail oriented & able to function independently.
7. Have excellent attention to detail.