About the role
The Compliance Associate reports to the Head of Compliance-Middle East 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 on the Account Onboarding to ensure the Firms compliance with SCA rules and regulation
Roles and Responsibilities include, but are not limited to:
Developing good working relationships with Admin, Operational staff and Senior Management
Preparing cases for audit
Assisting Head of Compliance with Regulatory Reporting
Act as first point of contact for compliance related queries
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
Other compliance related duties as assigned by Head of Compliance
About you
Required: any bachelors degree
Strong attention to detail and organizational and analytical skills are essential.
Ethical and understands the importance of complying with the rules.
Good interpersonal skills
Proactive, with the ability to pick up an issue, run with it and provide ensure completion.
General and good understanding of Microsoft office suite
Preferred CISI certificates:
The UAE Financial Rules and Regulations
Introduction to Securities and Investments (International)
