Senior Compliance Officer - Dubai - FREIGHT INVESTOR SERVICES

    FREIGHT INVESTOR SERVICES
    FREIGHT INVESTOR SERVICES Dubai

    22 hours ago

    د.إ320,000 - د.إ600,000 (AED) per year *
    Description

    Key Responsibilities

    • Assist in Communications Surveillance of office staff escalating all related issues with the Head of Compliance
    • Assist in completing daily transaction monitoring reviews against market abuse escalating all related issues to protect the business
    • Conduct regular trade reviews and reconstructions escalating all related issues to the Head of Compliance
    • Collaborate with different company departments to monitor enforcement of standards and regulations
    • Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate
    • Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client
    • Communicate efficiently with the respective client and/or broker to gather all necessary information
    • Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries
    • Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies
    • Provide regular timely progress updates to both the Compliance Manager and Brokers in both written and verbal formats
    • Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding
    • Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm s AML & KYC requirements are met
    • Identify review and disposition of all PEP s Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm
    • Classify clients from a risk and regulatory perspective
    • Investigate and elevate all suspicious activity and financial crime (AML & Fraud) related issues with relevant proposals to protect the business
    • Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding
    • Review onboarding accounts as required
    • Effectively manage KYC inbox; ensuring all emails are responded to
    • Ensure that all queries are answered promptly and in full
    • Ensure that all processes are followed and trackers are updated accurately
    • Maintain PAD Conflicts of Interest PEP Sanctions and adverse media lists and Compliance Register
    • Work on special projects and assists with ad hoc projects as required
    • Monitor any material changes that may impact the risk status of client files
    • Perform any other reasonable duties the company may require

    Requirements

    • Previous Compliance experience either in commodity markets or communications surveillance & market abuse
    • Demonstrate knowledge of Compliance laws rules regulations risks and typologies with emphasis on Money Laundering & MAS regulations
    • Experience of using approved KYC vendor sources e.g. Orbis Corporate Registries and others
    • Possess good knowledge of onboarding process from start to finish such as KYC/client risk rating suspicious activity reporting client screening/sanctions requirements and risk assessment
    • Knowledge of High risk indicators and revision of complex structures and entity types including Trusts Funds overseas jurisdictions (BVI Channel Islands Cayman Islands etc)
    • Possess some knowledge of regulatory requirements in other jurisdictions i.e. Singapore
    • Educated to degree level in a related subject matter and/or related industry qualification (ICA ACAMS)
    • Team Player - collaborative but also able to work independently with minimal supervision
    • Strong written and verbal communications skills
    • Strong work ethics striving for the success of a small team
    • Ability to prioritise meet deadlines and multitask in a fast-paced environment
    • Excellent attention to detail combined with inherent ability to prioritise work
    • Excellent interpersonal skills working well with others and diverse groups / personalities
    • Adaptable to change and willing to work in a fast-paced environment with a positive approach
    #J-18808-Ljbffr
    * This salary range is an estimation made by beBee
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