Venture Search is currently working with a brokerage in the DIFC. This is a stand-alone role that will work closely with the CEO and have the opportunity to grow with the UAE business.
- Assist the DFSA authorised Compliance officer and MLRO with all Compliance and AML queries.
- Deal with day-to-day Compliance and AML queries from the business.
- Assist in the management of the relationship with the DFSA and to act as a deputy Compliance Officer and MLRO.
- Assist with Client onboarding, KYC verification, and act as point of contact between the Business and the clients.
- Responsible for Core Compliance by assisting in the reviewing and updating of all policies and procedures and helping brokers understand policies, practices, or the code of conduct.
- Responsible for Compliance Advisory in Dubai Office.
- Assist with Compliance Monitoring and the investigation process of received alerts and risk events.
- Provide Energy & Commodities guidelines to ensure compliance with the DFSA regulations.
- Identify and mitigate ongoing compliance and AML risks.
- Ensure any breaches of compliance policies and procedures are documented and addressed.
- Ensure local staff completes any mandatory electronic Compliance and AML training by the required deadlines and assist with providing face-to-face required trainings.
- Assist with suspicious activity and transaction reporting to the applicable UAE government supervisory authorities and the DFSA.
- Work closely with Middle East Data Protection Officer in the investigation of data breaches and processing of sensitive / confidential data.
Experience / Competences
- Demonstrated experience related to Energy & Commodities markets Compliance,
- Proven knowledge of Energy & Commodities products.
- Knowledge of financial regulation.
- Fluent in English – Arabic is an advantage.