Compliance Officer / MRLO Recently Filled
Legal, Banking & Financial Services
Posted 20th Sep 2017
Our client, a Dubai based online investment platform has a full compliance and KYC programme / set of processes and procedures in place but now needs a specific and separate individual to take responsibility for the role of Compliance Officer. The firm is about to engage CCL to undertake a full review and the incoming compliance officer needs to be onboard when this occurs to maximize value / efficiency.
The role will include Identifying compliance risks and advising on appropriate policies, procedures, systems and controls, including;
• Updating of documentation on the organisation, responsibilities and procedures of the Firm’s compliance function
• Management of the KYC element of the operations team
• Ensuring compliance breaches are readily identified, reported and acted on
• Keeping senior management up to date on changes in relevant regulations and their implications
• Preparing the Firm for DFSA risk assessment visits
• Reviewing the Firm’s marketing materials
• Ensuring that employees receive training as required
• Liaising with DFSA and ensuring all regulatory returns ad hoc notifications are submitted on time
• Maintaining the Firm’s regulatory files and registers
The applicant will also be the MLRO.
It is expected that there may need to be a more intense initial 4-week (or so) period (with more hours) but that the role will be approx 10 hours per week once settled.
Dubai based online investment platform
- MUST have DFSA compliance experience and be someone who is looking to come into a growing business and manage the role fully
- Someone who will be confident to be the focal point with the DFSA and also challenge management as required
Part Time Flexible