Manager, Client Compliance

IQ-EQ

Responsibilities:

• 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.

Qualifications

Education / professional qualifications

A degree from reputable university, preferably in the field of law, finance or financial services or directly related to compliance functions

Background experience

At least 8-10 years experience in the financial services sector and preference given to experience in compliance

Technical

Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer