Compliance Executive Apex

COMPLIANCE OFFICER: The role of the Compliance Officer will include the following responsibilities and tasks:

Liaising with the regulator for compliance-related matters.

Keeping up to date with the relevant regulatory rules, regulations and requirements.

Review and draft of compliance and internal control procedures and ensure that they are in adherence with Compliance and other manuals, as well as all applicable legislations.

Ensuring that the Compliance Manual and related documents are kept up-to-date.

Providing guidance (and assistance where relevant) to senior management and employees of the client on regulatory compliance-related matters.

Administering policies in relation to managing conflict of interests, personal account transactions, use of marketing material, etc.

Overseeing staff awareness and training on compliance matters; providing necessary compliance related training to employees and assist in enhancing compliance culture.

Handling communications with the regulator, obtaining approvals as needed, notifying the regulator as required for all compliance-related matters. Overseeing submission of regulatory returns by the client.

Maintaining records and registers as required under applicable rules and regulations, including, without limitation, registers in relation to breaches, complaints, suspicious transactions, training, etc.

Reporting to and liaising with the SEO, and the Board, as required, on compliance related matters; management of the client s processes.

Implementing and updating the client internal and external compliance reporting s Compliance Monitoring Programme, as required

Provide support to the team on various projects, as and when needed.

Draft policies and procedures and be a key member for clients who would be setting up their operations in the DIFC/ADGM (DFSA/ADGM regulated).

MONEY LAUNDERING REPORTING OFFICER: The role of the Money Laundering Reporting Officer will include the following responsibilities and tasks:

Liaising with the regulator and other relevant authorities, as may be needed, in relation to the client s AML matters.

Establishing and maintaining relevant systems, controls and policies in relation to anti money laundering laws applicable to the client.

Providing relevant AML training to the employees of the client.

Drafting, reviewing and updating the AML manual as needed.

Performing requisite AML-related risk assessments and due diligence checks.

Reporting to and liaising with the SEO and the Board, as needed, on AML related matters; management of the client s internal and external compliance reporting processes.

Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described in the rulebook of DFSA/FSRA.

Acting as point of contact for internal and external Suspicious Activity/Transaction reports.

Overseeing the firm s KYC and related systems and processes to ensure compliance with applicable FSRA rules, AML regulations, and internal policies.

Ensuring KYC documentation, customer due diligence, and ongoing reviews are conducted accurately, maintained appropriately, and updated in line with regulatory requirements.