COMLRO

Description

JobTitle: COMLRO
Reportsto: SeniorExecutiveOfficer
Role: Fulltime
Location: AbuDhabi

TheCompany

Our client is the first self-directed digital investment platform in the region. Currently operating in Egypt with full brokerage and custody licenses, they aim to be at the forefront of economic development in the region by promoting financial literacy and providing individuals with access to local investment opportunities while channeling those investment funds to local enterprises to continue growing local economies and creating jobs. They are backed by prominent global and regional investors, including Tiger Global, BECO Capital and Prosus Ventures.

JobPurpose

TheCOMLROservesastheComplianceOfficerandMLROforthefirmand,inpartnershipwiththeBoardandtheSEO,isresponsibleformanagingtheregulatoryriskofthecompany.TheCOMLROistheprimarypointofcontactwithregulatorsandwillworkcloselywiththeBoardandSEOtomanageregulatoryrisk.Thisrole requiresaproactiveleaderwithdeepexpertiseincompliance,financialcrimepreventionandregulatoryframeworksintheUAE.

Dutiesandresponsibilities

ComplianceOfficerResponsibilities

• Developandmaintainthecompliancepoliciesandprocedures.
• Implementarisk-basedcomplianceprogram.Performmonitoringandsurveillancereviewsinlinewiththecompliancemonitoringplan.
• Conducttradesurveillanceandtransactionmonitoring.
• Provideregulatoryguidancetostaff,theSEO,andtheBoard.
• PrepareandpresentcompliancereportsfortheBoard.
• Assistwithclientenquiriesandrequestsforinformation.

MLROResponsibilities

• MaintainAnti-MoneyLaundering(AML)policiesandprocedures.
• OverseeKnowYourCustomer(KYC)andCustomerDueDiligence(CDD)processes.
• Identify,analyse,andreportsuspicioustransactions.
• ProvideAntiMoneyLaunderingtrainingtostaffandadvisorysupport.
• ActastheprimarycontactforfilingSuspiciousActivityReports(SARs).

SkillsandExperience

• Bachelor'sdegreeinbusiness,law,orarelatedfield.
• Arelevantprofessionalcertification(e.g.,CertifiedComplianceProfessional)isaplus.
• 7-10yearsofexperienceworkinginacompliancerole,preferablywithinaregulatedindustry.
• FSRAorDFSA-approvedpersonis essential for this role.
• StrongknowledgeofUAElaws,regulations,andindustrystandards.
• Retailbrokerageexperienceisessentialforthisrole.
• Excellentanalyticalskillswiththeabilitytointerpretcomplexregulationsandassesstheirimpactontheorganization.
• Effectivecommunicationandinterpersonalskillstocollaboratewithstakeholdersatalllevels.
• Attentiontodetailandtheabilitytohandleconfidentialinformationwithdiscretion.
• Strongorganizationalandprojectmanagementskillstohandlemultiplecomplianceinitiativessimultaneously.
• Proficientincompliancemanagementsoftwareandtools.
• ExperiencewithaCategory3Alicensedfirmisessential for this role.
• KnowledgeofADGMDataProtectionlawsisaplus.
• FamiliaritywithSQLforcompliancedataanalysisisbeneficial.

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