Qureos Mentor

Freight Investor Services

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 Key Responsibilities:
 
 
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 Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;
 
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 Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business;
 
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 Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance;
 
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 Collaborate with different company departments to monitor enforcement of standards and regulations;
 
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 Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate;
 
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 Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client;
 
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 Communicate efficiently with the respective client and/or broker to gather all necessary information;
 
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 Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries;
 
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 Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies;
 
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 Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats;
 
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 Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding;
 
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 Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm&rsquo;s AML &amp; KYC requirements are met;
 
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 Identify, review and disposition of all PEP&rsquo;s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;
 
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 Classify clients from a risk and regulatory perspective;
 
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 Investigate and escalate all suspicious activity and financial crime (AML &amp; Fraud) related issues with relevant proposals to protect the business;
 
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 Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding;
 
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 Review onboarding accounts as required;
 
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 Effectively manage KYC inbox; ensuring all emails are responded to;
 
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 Ensure that all queries are answered promptly and in full;
 
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 Ensure that all processes are followed, and trackers are updated accurately;
 
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 Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register;
 
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 Work on special projects and assists with ad hoc projects as required;
 
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 Monitor any material changes that may impact the risk status of client files;
 
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 Perform any other reasonable duties the company may require
 
 
 
 
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 Requirements
 
 
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 Previous Compliance experience either in commodity markets or communications surveillance &amp; market abuse
 
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 Demonstrate knowledge of Compliance laws, rules, regulations, risks and typologies with emphasis on Money Laundering &amp; MAS regulations
 
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 Experience of using approved KYC vendor sources e.g. Orbis, Corporate Registries, and others
 
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 Possess good knowledge of onboarding process from start to finish, such as KYC/client risk rating, suspicious activity reporting, client screening/sanctions requirements, and risk assessment
 
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 Knowledge of High risk indicators and revision of complex structures and entity types including Trusts, Funds overseas jurisdictions (BVI, Channel Islands, Cayman Islands etc)
 
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 Possess some knowledge of regulatory requirements in other jurisdictions i.e. Singapore
 
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 Educated to degree level in a related subject matter and/or related industry qualification (ICA, ACAMS)
 
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 Team Player - collaborative but also able to work independently with minimal supervision
 
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 Strong written and verbal communications skills
 
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 Strong work ethics, striving for the success of a small team
 
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 Ability to prioritise, meet deadlines and multitask in a fast-paced environment
 
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 Excellent attention to detail combined with inherent ability to prioritise work
 
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 Excellent interpersonal skills, working well with others and diverse groups / personalities
 
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 Adaptable to change and willing to work in a fast-paced environment with a positive approach
 
 
 
 
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Senior Compliance Officer (Dubai)

Join Freight Investor Services and explore 1   exciting career opportunities. They're hiring for various roles with options for remote or on-site work. Apply today and become part of their innovative team.

Freight Investor Services

ABOUT_COMPANY

Senior Compliance Officer (Dubai)