Compliance Associate
Dubai, United Arab Emirates
Job Description
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Job Title: Compliance Associate Business Unit: Compliance Location: Dubai Reports To: Senior Compliance Analyst
Position Summary: The Compliance Associate reports to the Senior Compliance Analyst and will be responsible for assisting in providing Core Compliance services including, carrying out the Firms Compliance Monitoring Programme In addition, this role will work closely with the other members of the Account Onboarding team to ensure the Firms compliance with DFSA and exchange rules and regulations.
Duties & Responsibilities: Responsibilities include, but are not limited to:
Experience & Skills Required:
Position Summary: The Compliance Associate reports to the Senior Compliance Analyst and will be responsible for assisting in providing Core Compliance services including, carrying out the Firms Compliance Monitoring Programme In addition, this role will work closely with the other members of the Account Onboarding team to ensure the Firms compliance with DFSA and exchange rules and regulations.
Duties & Responsibilities: Responsibilities include, but are not limited to:
- Developing and maintaining a good understanding of the Firm's business and the regulatory framework in which it operates. This includes understanding of the DFSA rules.
- Developing good working relationships with Broking staff, Operational staff and Senior Management.
- Performing monitoring reviews, as detailed in the Compliance Monitoring Programme, which are designed to identify compliance with the Firms policies and procedures, evaluate issues/concerns and appropriately escalate.
- Where necessary, conducting communications monitoring (voice and electronic) to ensure compliance with the Firms policies and procedures, evaluate issues/concerns and appropriately escalate.
- Writing reports that present monitoring results, capturing findings and remedial actions identified in order to mitigate the firms risks.
- Tracking agreed remedial actions through to conclusion.
- Monitoring routine training and assessments to the business in relation to the firms regulations, policies and procedures.
- Assisting with regulator, exchange and audit requests, including the retrieval of data .
- Support and conduct day-to-day Compliance tasks, ad-hoc projects and work and other duties as and where required.
- Assisting with the preparation of Management Information.
- Assisting the business with counterparty AML requests.
- Understanding procedures and processes applicable to own role.
- Other compliance related duties as assigned by Compliance Officer.
Experience & Skills Required:
- Strong attention to detail and organizational and analytical skills are essential.
- Ethical and understands the importance of complying with the rules.
- Good interpersonal skills
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- Proactive, with the ability to pick up an issue, run with it and provide timely feedback.
- Must be able to work on a number of different tasks at the same time.
- General and good understanding of Microsoft Windows desktop operating system and PC skills.
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Job Detail
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Job IdJD1682989
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationDubai, United Arab Emirates
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EducationNot mentioned