The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer (“MLRO”) services. The department also assists client companies of IQ-EQ DIFC in structuring matters and in fulfilling clients’ compliance responsibilities.
In addition, the Senior Manager - Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks and to coach them.
- Contribute in designing and implementing the AML/CFT framework for specific clients;
- Act as MLRO/ Compliance Officer for IQ-EQ DIFC’s client companies;
- Attend board meetings to present MLRO/Compliance reports for IQ-EQ DIFC’s client companies on at least an annual basis; To receive, analyse and report Suspicious Transaction Reports, as appropriate;
- Perform Client file review or special investigation as required;
- Liaison with DFSA, FSRA and other regulatory bodies for assisting clients to procure regulatory approvals and for related matters.
- Provide AML/CFT training to directors and staff of client companies, as appropriate;
- Conduct AML/CFT risk assessments of all products, technology and business practice of client companies, as appropriate;
- Analyse and disseminate the latest AML/CFT related regulatory information to clients;
- Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries;
- Provide Management Information to the Operational Risk Committee, GRACC and Board, as required;
- Supervise, assess the Client Compliance Unit team’s work and assignments as well as assist in building capabilities and allocate resources within the Client Compliance Unit team;
- Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
- Ensure protection of information assets of IQ-EQ DIFC and to abide by the ISMS in place at IQ-EQ DIFC.
Education / professional qualifications
- A degree from reputable university, preferably in the field of law, finance or financial services or directly related to compliance functions
- At least 8-10 years’ experience in the financial services sector and preference given to experience in compliance
- Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer
At IQ-EQ we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations. With a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.
IQ-EQ is a leading Investor Services group which combines global expertise with an unwavering focus on client service delivery. We support fund managers, global companies, family offices and private clients operating worldwide.
< Back to search results