Senior Compliance Officer

Acting as FundRock ME's MLRO, establishing and maintaining the Anti Money Laundering policies, procedures, systems and controls in compliance with the Regulatory Anti Money Laundering rules and all relevant legislation applicable in the jurisdiction and Group Apex Policies;

Conduct thorough and timely AML risk assessments to identify potential areas of concern and implement mitigation strategies;

Collaborate with internal stakeholders, including legal, compliance, and risk management teams, to ensure seamless integration of AML & KYC processes into the broader organizational framework;

Conduct in-depth investigations into suspicious transactions and prepare comprehensive reports for senior management and regulatory authorities as required.

Monitor and analyze data to identify unusual patterns or trends that may indicate potential money laundering activities;

Overseeing licensing requirements and regulatory obligations while ensuring that Compliance activity takes account of all relevant legislation and ADGM related activities;

Maintaining positive relationships with regulators;

Preparing and submitting reports to regulatory authorities and handling communications and requests from the regulator(s) as required;

Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described by the Regulator;

Keeping up-to-date with all relevant laws and regulations and communicating regulatory changes and developments to senior management and staff;

Providing advice, and assistance where relevant, to senior management and staff on Apex Group compliance-related matters;

Review of the compliance and internal control framework and ensuring that they are in adherence with FundRock ME's and Apex Group's Policies and Procedures and all applicable legislation;

Ensuring the effective implementation of the Compliance Monitoring Programme and performing monitoring activities;

Ensuring that non-compliant findings are tracked with the respective business function managers until resolved;

Acting as the Compliance Officer leading FundRock ME's Compliance department and closely collaborating with both the Management of FundRock ME as well as the Compliance Leaders of the Apex Group with regards to all related matters;

Planning, designing, leading and executing Compliance related projects;

Preparing training material and deliver training in Compliance and AML matters;

Preparing and submitting Compliance and AML reports to management and various committees and governance structures within the Apex Group;

Maintaining a register of complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;

Understand segregation of duties and Chinese Walls between business units.

Be a specialist Compliance expert on the specific activities held by FundRock ME.

Managing collective investment fund and managing assets understand the business model of a third party fund Manager (Manco) and be fully conversant with the ADGM rulebooks, including but not limited to the Fund, AML, Prudential, General and Conduct of Business Standards Rulebooks.

Arranging deals and advising on investments understand the marketing rules with regards to private placement, passporting of funds and ensuring adherence to the rules regarding financial promotion in the ADGM. Vet clients to ensure that they have been appropriately classified and are suitable for investment into FundRock ME.

Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on Compliance and AML-related matters; and Promoting a positive compliance culture through engagement with staff via training, awareness and mentorship.

Data Protection Officer;

Act as the contact person for all Data Subjects and with the relevant Data Protection Commissioner; Keeping up-to-date with the relevant data protection regulations;

Monitor FundRock ME's compliance with the Data Protection Law and any other data protection or privacy-related law or regulation;

Advise in relation to the FundRock ME's data protection impact assessment(s) and data matrix;

Analysis of cross border transfers of confidential information;

Analysis of privacy aspects in all relevant procedures and policies applied by FundRock ME;

Analysis of data events and breaches;

Implementation of Apex Group's Data Privacy and Data Protection Policy;

Providing guidance to senior management and employees on data protection-related matters; and

Maintaining firm records and registers as required.

Requirements:

Holder of work permit in the UAE;

Advanced degree in Law or comparable professional education in relevant fields;

Professional experience of minimum 5 years in the field of Audit or Compliance in the UAE, preferably regarding investment funds and management companies;

Excellent knowledge of the UAE and ADGM regulatory framework;

Team management experience an asset;

Ability to work and lead a team in a positive, fair and open manner;

Ability to handle sensitive situations in a confidential and professional manner;

Self-organized and able to work accurately;

Pro-active and team-oriented;

Proficiency in MS Office;

Company Industry:

• Banking
• Broking

Department / Functional Area:

• Finance
• Treasury

Keywords:

• Senior Compliance Officer