eFinancialCareers

• Location

  UAE-Dubai

• Compensation

  Competitive

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  12 Nov 2009

• eFC Ref no

  584715

Company Profile:

We are a regional investment and advisory firm made up of four strategic business divisions covering investment banking, private equity, asset management and principal investments including real estate.

With a regional focus we provide a wide range of investment advisory and investment fund management services to a substantial client base that includes listed and unlisted companies, financial and government institutions as well as high net worth individuals.   Over the last 15 years we have been successful in positioning ourselves amongst the region’s most trusted and reputed financial institutions. 

Responsibilities:

• Maintain good regulatory standing: obtain and maintain licenses, authorizations and consents, timely submission of reports and periodic returns.

• Administer and oversee the firm’s Compliance Program: conduct monthly, quarterly and annual compliance audits, monitor conflict management, employees outside business interests, employee personal account transactions, complaints handling process, administer the firm’s whistle blowing process and perform due diligence with respect to major outsourcing arrangements.

• Responsible to maintain adequate documentation for permitted activities, breaches log, organization structure and authority matrix, senior management apportionment, fitness and propriety, regulatory business plans, training and competence, conflict management, communication and marketing materials, major systems and controls and client classification.

• Identifying and assessing compliance risks; designing and implementing appropriate policies, systems and controls, maintain compliance manuals and related documentation and conduct compliance surveillance as required. Finally, prepare reports for submission to the Board and Senior Management.

• Maintain adequate AML systems and controls and ensure Firm’s strict adherence to UAE Federal Laws and DFSA Regulations concerning Anti Money Laundering.

• Employee Training: Determine employee compliance and  AML training needs and conduct training programs.

Skills / Qualifications:

• Result oriented and ability to independently interact with the Regulators and the Board.

• Proficiency in MS office application and ability to design reports as required.

• Excellent communication skills in English

• Minimum 2-3 years compliance experience preferably within the investment banking/ Asset Management industry with a DFSA regulated entity or from an  equivalent jurisdiction

• Graduate or post graduate degree in Law/ Accounting