Manager, Client Compliance - united arab emirates - IQ-EQ

    IQ-EQ
    IQ-EQ united arab emirates

    2 days ago

    Description
    Job Description Responsibilities

    The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer ("MLRO") services. The department also assists client companies of IQ-EQ DIFC in structuring matters and in fulfilling clients' compliance responsibilities. In addition, the Manager - Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks and to coach them.

    Tasks
    • Contribute in designing and implementing the AML / CFT framework for specific clients;
    • Act as MLRO / Compliance Officer for IQ-EQ DIFC's client companies;
    • Attend board meetings to present MLRO / Compliance reports for IQ-EQ DIFC's client companies on at least an annual basis; To receive, analyse and report Suspicious Transaction Reports, as appropriate;
    • Perform Client file review or special investigation as required;
    • Liaison with DFSA, FSRA and other regulatory bodies for assisting clients to procure regulatory approvals and for related matters.
    • Provide AML / CFT training to directors and staff of client companies, as appropriate;
    • Conduct AML / CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
    • Analyse and disseminate the latest AML / CFT related regulatory information to clients;
    • Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries; Provide Management Information to the Operational Risk Committee, GRACC and Board, as required;
    • Supervise, assess the Client Compliance Unit team's work and assignments as well as assist in building capabilities and allocate resources within the Client Compliance Unit team;
    • Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
    • Ensure protection of information assets of IQ-EQ DIFC and to abide by the ISMS in place at IQ-EQ DIFC.
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