Deputy Compliance MLRO

Title:        Deputy Compliance Officer & Money Laundering Reporting Officer

The Role: Deputy CO/MLRO for the Fund Administrators in the UAE, regulated by the DFSA and ADGM/FSRA.

DEPUTY COMPLIANCE OFFICER

A pivotal role in maintaining the firm’s adherence to DFSA and ADGM/FSRA laws and regulations.

• Support the Compliance/MLRO Officer in managing and implementing the Compliance Control Framework
• Provide guidance and assistance where relevant on compliance related matters
• Review client and investor onboardings including KYC, CDD and risk assessments
• Support the CO/MLRO with regulatory communications
• Prepare documentation for regulatory filings and assist with timely submissions
• Maintain the firm’s records and registers as required under applicable rules and regulations, including, without limitation, registers in relation to breaches, complaints, suspicious transactions, conflicts of interest, training, etc.
• Regularly update compliance checklists and reports to track adherence to internal and external policies.
• Maintain compliance dashboards and generate comprehensive Management Information reports, including financial crime-related data for senior leadership
• Conduct testing and monitoring of the Compliance Monitoring Programme activities
• Ensure that the firm’s Compliance Manual and related documents are kept up-to-date
• Oversee staff awareness and training on compliance matters
• Support ad-hoc compliance-related projects that may be assigned from time to time
• Support the Data Protection Officer with reporting and oversight
• Promote a positive compliance culture through engagement with staff through engagement and awareness

DEPUTY MONEY LAUNDERING REPORTING OFFICER

The role of the Deputy Money Laundering Reporting Officer will include the following responsibilities and tasks:

• Oversight and maintenance of relevant systems, controls and policies in relation to anti-money laundering laws applicable to the firm
• Provide relevant Financial Crime Prevention training to the employees of the firm
• Support with regulatory reporting, filings and thematic reviews
• Act as point of contact for internal and external suspicious activity/transaction reports and returns
• Supporting any Regulatory related remediation as required
• Review and updating the firm’s Financial Crime Prevention Policy as required
• Perform requisite AML related risk assessments and due diligence checks
• Receive and support any relevant findings, recommendations, guidance, directives, resolutions, sanctions, or notices from the Authorities.