Assist the Head of ADGM and compliance lead with the onboarding of all client matter.
Have a thorough understanding of the KYC onboarding process throughout all jurisdictions that we serve
Have an excellent knowledge for the risk assessment tools including, but not limited to, Worldcheck.
Prepare quickly and accurately the risk assessment forms for the MLRO to review.
Work closely with the Legal and Compliance Office and Consultants to ensure an efficient onboarding process
Ensure that for all existing clients, the folders in the CRM and CBD Cloud are up to date and accurate at all time ensuring the naming of the files is within the CBDframework.
Ensure that the CBD companies comply with local regulations by assisting with the submittal with all compliance related filings.
Prepare compliance reports as instructed by the MLRO and in line with adherence to the CBD policy.
Draft documents required by the MLRO for the leadership team review, including minutes and resolutions.
Take appropriate action when such suspicious transaction reports have been received.
Conduct a compliance audit of all client files and ensure they are up to date and accurate (including in the CBD Cloud, hardback folders and CRM)Complete a Compliance Calendar, ensuring that we proactively manage all existing clients are compliant to company standards across all jurisdictions that we serve, including, but not limited to, mainland companies, ADGM, DIFC and freezones
Support and assist the MLRO with drafting or review of policies and any documents as instructed
Draft, upload and regularly update the suite of compliance document templates across all company formation/ restructuring scenarios, ensuring they are up to date and accurate at all times and stored in the appropriate files
Assist with the compliance review in the onboarding process of new clients including the preparation of folders and update to all databases
Assist with compliance submissions via online portals and apps across UAE government departments, agencies and registered agents
Provide the compliance support to clients throughout the jurisdictions that we serve
Manage and organise all client compliance files and folders
Plan, manage and execute any client notifications related to compliance changes to the UAE laws, regulations and
procedures such as AML
Manage CRM and the compliance workflow document ensuring the MLRO is aware of the priority matters
Draft compliance checklists for all service types
Responding promptly to request for information made by the relevant authorities in the UAE and ADGM.
Receiving and acting upon findings received by the government departments of the UAE including the central bank of UAE, the AMLSCU and ADGM.
By using the CRM, ensure there is a Compliance Calendar, so that we proactively manage all existing client renewals
Draft compliance training documents to assist with the understanding of our processes both internally (colleagues) and externally (clients) for all service types
Plan, manage and execute any client notifications related to changes to the UAE laws, regulations and procedures such as UBO declaration, ESR registration, AML
Demonstrate the core values of the business in accordance with the CBD Values
