Compliance Officer and MLRO

Role Location: Abu DhabiEmployment Type: PermanentReporting line: Reports into the Regional Compliance Officer – Middle East Role and Responsibilities include:Setting, establishing and monitoring adherence to processes, policies and procedures to meet -compliance, legal and regulatory requirements.Responsibilities:COMPLIANCE OFFICEROverseeing licensing requirements and regulatory obligations while ensuring that compliance activity takes account of all relevant legislation and ADGM/FSRA related activities;Handling communications with the Regulator(s), obtaining approvals as required, notifying the Regulator as required for all compliance-related matters;Preparing and submitting reports to regulatory authorities;Keeping up-to-date with all relevant laws and regulations and communicating regulatory changes and developments to senior management and staff;Oversight and management of the regulatory risks within the business;Review of the compliance and internal control framework and ensuring that they are in adherence with the firm’s and Apex Group’s Policies and Procedures and all applicable legislations;Ensuring the effective implementation of the Compliance Monitoring Programme and performing monitoring activities;Ensuring that non-compliant findings are tracked with the respective business function managers until resolved;Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on compliance related matters;Preparing and submitting compliance reports to management and various committees and governance structures within the Apex Group;Providing advice, and assistance where relevant, to senior management and staff on Apex Group compliance-related matters;Maintaining a register of complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;Providing assistance and support in satisfying staff training and development needs and plans to new regulations and legislation;Preparing training material and deliver training in compliance with regulatory obligations and business procedures;Promoting a positive compliance culture through engagement with staff through training and mentorship. MONEY LAUNDERING REPORTING OFFICERActing as the Firm’s MLRO, establishing and maintaining the Firm’s Anti Money Laundering policies, procedures, systems and controls in compliance with the Regulatory Anti Money Laundering rules and all relevant legislation applicable in the jurisdiction and Group Apex Policies;Providing relevant AML training to the employees of the firm;Completing and submitting all regulatory reporting;Managing and completing any regulatory related remediation as required;Reviewing and updating the firm’s AML manual as required;Performing requisite AML-related risk assessments and due diligence checks;Receiving and acting upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions described by the Regulator;Monitoring suspicious transactions, identify potential sanctions and submit reporting as required;Liaising with the Regulator and other relevant authorities, as may be required, in relation to the firm’s AML matters; andReporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on AML-related matters; management of the firm’s internal and external compliance reporting processes. DATA PROTECTION OFFICERAct as the contact person for all Data SubjectsAct as the contact person with the relevant Data Protection CommissionerKeeping up-to-date with the relevant data protection regulationsMonitor the Firm’s compliance with the Data Protection Law and any other data protection or privacy-related law or regulationAdvise in relation to the Firm’s data protection impact assessment(s) and data matrixAnalysis of cross border transfers of confidential informationAnalysis of privacy aspects in all relevant procedures and policies applied by the FirmAnalysis of data events and breachesImplementation of Apex Group’s Data Privacy and Data Protection PolicyCommunication and training to employees, senior management and clients (where necessary)Providing guidance to senior management and employees on data protection-related mattersMaintaining firm records and registers as required Skills Required:Financial services experience of 5 to 7 years working within a regulated financial environment.Understanding of the relevant regulations in UAE and International AML Laws.Relevant professional qualifications e.g. AML, CDD, Compliance, Risk, or equivalent.Experience in Customer Due Diligence (CDD/KYC) on various international corporate structures and risk profiles.Excellent communication and organisational skills.Experienced leader able to develop team members.Motivated and driven and a team player.Solutions driven critical thinking, with the ability to adapt to change. What you will get in return:A high level of visibility within a large organisation on an upwards trajectoryThe ability to define compliance processes to drive innovation and have a tangible impact on the businessBe part of a dynamic and fast-paced team that makes a genuine impact on the businessExposure to all aspects of the business and cross-jurisdictionThe opportunity to innovate, bring discipline to brand activity and really make a difference. Additional information:We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socioeconomic, responsibilities for dependents, physical or mental disability. Any hiring decisions are made on the basis of skills, qualifications and experiences.We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet. For more information on our commitment to Corporate Social Responsibility (CSR) please visit https://theapexgroup.com/csr-policy/