Head of Compliance
Group Compliance Officer & MLRO
Venture Search is hiring for a Group Compliance Officer & MLRO for our client who are an international Asset Management firm based in the DIFC.
• Group wide responsibility for regulatory compliance and risk framework, AML/sanctions regime and governance structure of group entities and funds in sync with applicable laws, rules and regulations and internal policies, procedures, systems and controls.
• Monitoring regulatory developments and standards and ensuring timely implementation.
• Oversight, testing and ongoing development of group wide policies and procedures framework in line with best practices and applicable standards and requirements.
• Ongoing compliance monitoring and discharge regulatory (non-financial) reporting obligations and notifications.
• Review and approval of any promotion and marketing materials.
• AML/sanctions checks on new clients, investors, business partners and maintain up-to-date KYC / DD files.
• Lead annual preparations for internal audit reviews.
• Prepare regular compliance reports to management and boards.
• Prepare and deliver regular compliance and AML training to staff.
- Experience needed:
• Approved Person acting as DFSA registered Compliance Officer & MLRO.
• Supported by Advisors in the UK and experienced compliance and operations staff in Dubai.
• Reporting to Group COO & Managing Partner and relevant boards. The successful applicant:
• 5+ years of relevant financial industry experience with sound understanding of alternative investments.
• Requisite skills, knowledge and experience required for the DFSA Approved Person roles.
• Experience working at a DIFC (or ADGM) regulated firm operating in the Asset Management sector (ideally alternative products established in multiple jurisdictions).
• Excellent academic background.
• Excellent organizational skills.
• Legal experience and compliance and investment qualifications are clear benefits.