- Assist the Compliance Manager in maintaining and updating the policies and procedures outlined in the compliance manual.
- Monitor the daily activities of the company and its employees to ensure adherence to the internal and external rules and regulations according to the compliance monitoring Programme, which should be updated on an ongoing basis.
- Assist the Compliance Manager in identifying potential areas of compliance vulnerability and risk, and in developing and implementing corrective action plans for resolution of problematic issues.
- Liaise with the local regulator and exchange and handle all their requests.
- Review KYC and AML documents for new clients and activating accounts on the brokerage system.
- Provide reports to the relevant user group on a regular basis.
- Conduct AML checks and monitor customer’s transactional behavior for early detection of any suspicious or unusual activity.
- Coordinate the development of the brokerage system with other departments,.e.g. front office, operations and, IT.
- Review all trading orders to ensure that all orders were taken according to the market rules.
- Offer regular AML and compliance training and advice to all employees.
- Handle customers’ complaints.
- Bachelor’s degree in any discipline
- 2 -4 years’ experience in Securities Brokerage.
- Knowledge of the industry’s standards and local regulations (UAE: DIFC and the local regulators)
- Able to think independently understand the logical connection between business policies and compliance regulations.
- Good critical thinking skills.
- UAE National Only
- Bilingual in Arabic and English
For qualified candidates, please send your updated CV to email@example.com OR firstname.lastname@example.org