Senior Compliance Officer (Dubai)

Key ResponsibilitiesAssist in Communications Surveillance of office staff escalating all related issues with the Head of ComplianceAssist in completing daily transaction monitoring reviews against market abuse escalating all related issues to protect the businessConduct regular trade reviews and reconstructions escalating all related issues to the Head of ComplianceCollaborate with different company departments to monitor enforcement of standards and regulationsAssist in preparing reports/ requests for senior management and external regulatory bodies as appropriateManage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active clientCommunicate efficiently with the respective client and/or broker to gather all necessary informationResponsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queriesResponsible for ensuring all client documentation is handled and filed appropriately in line with our policiesProvide regular timely progress updates to both the Compliance Manager and Brokers in both written and verbal formatsResponsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boardingPerform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm s AML & KYC requirements are metIdentify review and disposition of all PEP s Sanctions and Adverse media at onboarding stage assessing the risks posed to the firmClassify clients from a risk and regulatory perspectiveInvestigate and elevate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the businessConduct periodic reviews and refresh KYC documents of existing client in accordance with their risk bandingReview onboarding accounts as requiredEffectively manage KYC inbox; ensuring all emails are responded toEnsure that all queries are answered promptly and in fullEnsure that all processes are followed and trackers are updated accuratelyMaintain PAD Conflicts of Interest PEP Sanctions and adverse media lists and Compliance RegisterWork on special projects and assists with ad hoc projects as requiredMonitor any material changes that may impact the risk status of client filesPerform any other reasonable duties the company may requireRequirementsPrevious Compliance experience either in commodity markets or communications surveillance & market abuseDemonstrate knowledge of Compliance laws rules regulations risks and typologies with emphasis on Money Laundering & MAS regulationsExperience of using approved KYC vendor sources e.g. Orbis Corporate Registries and othersPossess good knowledge of onboarding process from start to finish such as KYC/client risk rating suspicious activity reporting client screening/sanctions requirements and risk assessmentKnowledge of High risk indicators and revision of complex structures and entity types including Trusts Funds overseas jurisdictions (BVI Channel Islands Cayman Islands etc)Possess some knowledge of regulatory requirements in other jurisdictions i.e. SingaporeEducated to degree level in a related subject matter and/or related industry qualification (ICA ACAMS)Team Player - collaborative but also able to work independently with minimal supervisionStrong written and verbal communications skillsStrong work ethics striving for the success of a small teamAbility to prioritise meet deadlines and multitask in a fast-paced environmentExcellent attention to detail combined with inherent ability to prioritise workExcellent interpersonal skills working well with others and diverse groups / personalitiesAdaptable to change and willing to work in a fast-paced environment with a positive approach#J-18808-Ljbffr