Senior Associate – Compliance Solutions

Role Overview

• Providing day to day support to clients and colleagues in executing compliance, and AML deliverables.
• Undertaking the role of Compliance Officer/MLRO and possibly Risk Officer.
• Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements.
• Drafting and/or executing a compliance monitoring and testing program and performing desk-based reviews to ensure compliance with regulatory and internal procedures.
• Assist and/or providing training on compliance, AML, and corporate governance.
• Providing outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
• Ensuring that the regulatory returns and relevant notifications are submitted on a timely basis and acting as a point of contact with the regulator.
• Undertaking client on-boarding/KYC.
• Be the first point of contact for internal suspicious activity reports and when submitting external suspicious activity reports to the financial intelligence unit and regulator.
• Manage client’s expectations.
• Attending and contributing to internal meetings.
• Working with senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
• Assisting in promoting the firm at various industry and promotional events or producing certain publications.
• Keeping abreast of relevant laws and regulations.
• Commitment to continued learning, remaining well-informed regarding internal standards, and business goals/knowledge sharing.
• Responsible for maintaining timesheets daily and are expected to meet certain targets on a weekly basis, as set by management.
• Responsible for maintaining, keeping up-to-date, and accurate client files.
• Assisting in the drafting and preparation of proposals and engagement letters.

Requirements

• The Senior Associate must have a minimum of 3 years’ experience either in Compliance, AML or at the Regulators and preferably educated to degree standard (or equivalent).
• A Senior Associate is expected to obtain an AML or Compliance certificate within 3 months of joining.
• A Senior Associate should be a well-versed candidate, from within the Compliance, AML, and Risk Management space, who can act in a vigorous and independent manner to develop both policy, and culture across the organization.
• Internationally 3rd level professional qualification required.

Benefits

• Commitment to minimum continuing professional development requirements, in accordance with internal and external standards.