(Assistant) Compliance Officer
Dubai, United Arab EmiratesPosted 2 years ago- 1Viewed
- 0In Consideration
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Job Details
Skills And Tools:
Job Description
Purpose
Support the Compliance Officer and respond to day-to-day Compliance and AML queries from the business.
Responsibilities
1. Review KYC/AML documents for new/existing clients. Ensure their documentation is complete and activate accounts on the brokerage system.
2. Monitor all trading orders to ensure they are taken according to the market rules, and review errors and breaches.
3. Provide reports to the relevant parties on a regular basis to ensure adherence to the Compliance Monitoring Program as well as the AML and Sanctions Programs.
4. Collaborate with other departments to ensure compliance issues are appropriately addressed.
5. Handle clients’ complaints and escalate to higher levels, if needed, for further action.
6. Stay up to date with local and international regulatory developments and evolving best practices in compliance control.
7. Assist in maintaining and revising the compliance policies and procedures to ensure the compliance of our business operations and procedures.
Job Requirements
Job requirements
1. Bachelor’s degree in discipline.
2. Analyst: 0 - 2 years’, Associate: 2 – 5 years’ experience in compliance in a financial institution.
3. Knowledge of the industry’s standards and regulations is a plus.
4. Excellent analytical and critical thinking skills.
5. Good Microsoft Office skills (Word, Excel, and Power point).
6. Excellent communication skills (written, verbal and listening).
7. Able to build partnerships and work well in teams.
8. Can identify problems and refer/escalate complex issues to a higher level.
9. Detail oriented; ensure deliverables are always of a high quality.
10. Able to work under pressure.
11. Multi-tasker, with the ability to meet changing deadlines, and to prioritize and handle multiple projects.
12. Self-motivated and maintains a positive attitude.
