Director, Compliance
IQEQ
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Posted 4 hrs ago
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Any Nationality
Gender
Not Mentioned
Vacancy
1 Vacancy
Job Description
Roles & Responsibilities
The Client Compliance Services department assists client companies of IQ EQ (DIFC) Global Services Limited in DIFC and IQ EQ Middle East Services Limited in ADGM (IQ-EQ UAE) in the following matters: Structuring of regulated financial services companies (selection of appropriate license activities considering client s desired business model as well as available human and financial resources); Assistance in authorisation applications in DIFC and ADGM financial free zones, as well as with other regulators (UAE CB, CMA etc.) leading the process end-to-end (except for the legal part such as drafting legal agreements or in case of a fund manager, fund s documentation); Compliance support of licensed firms in ADGM and DIFC, including provision of officers or deputies for the roles of: Compliance Officer Money Laundering Reporting Officer Risk Officer Data Protection Officer Ad-hoc advisory and assistance to regulated firms such as compliance health check, support during a regulatory risk assessment/audit, license variation etc. Clients support in data protection matters (policy, procedures, training, answers on the registrar s portal, handling a breach report etc.
Desired Candidate Profile
A degree from reputable university, preferably in the field of law, finance or financial services or directly related to compliance functions. At minimum of 8-10 years experience in the financial services sector with the minimum of 5 years experience in regulatory compliance. Preferred experience at a senior level of at least 2-3 years in consulting firms. Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.
Company Industry
Department / Functional Area
Keywords
- Director
- Compliance
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IQEQ
We re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We re driven by our Group purpose, to power people and possibilities.
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