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Manager - Compliance Solutions

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Waystone

2mo ago

  • Job
    Full-time
    Mid Level
  • Legal
  • Dubai
  • Quick Apply

AI generated summary

  • You should have 4+ years in Compliance or AML, an international qualification, AML/Compliance certification, strong communication skills, integrity, and analytical abilities.
  • You will ensure compliance, manage client onboarding, support regulatory submissions, conduct training, maintain client files, and oversee compliance monitoring while engaging in ongoing professional development.

Requirements

  • Education:
  • An internationally recognized professional qualification.
  • Experience:
  • Must have a minimum of 4 years’ experience either in Compliance, AML or at the Regulators.
  • Is expected to have an AML or Compliance certificate.
  • Should be a well-versed candidate, from within the Compliance, AML, and Risk Management space, who can act in a vigorous and independent manner to develop both policy, and culture across the organization.
  • Key Competencies:
  • Integrity - foster professional and ethical judgement when engaging stakeholders, and instill mutual trust, and confidence.
  • Strong attention to details and keen on delivering quality work.
  • Strong interpersonal and communication skills (both written & verbal).
  • Relationship Management - provide service excellence to internal and/or external clients.
  • A team player, enthusiastic, and self-motivated.
  • Analytical skills - collect and analyze information, problem-solve, and make decisions under minimal supervision.
  • Commercial awareness and understanding of business environments.

Responsibilities

  • Undertake the role of Compliance Officer/MLRO and Risk Officer and/or Company Secretary.
  • Provide day to day support to clients and colleagues in executing compliance, and AML deliverables.
  • Develop, initiate, maintain, and revise policies and procedures to ensure compliance with various regulatory requirements.
  • Draft and/or execute a compliance monitoring and testing program and performing desk-based reviews to ensure compliance with regulatory and internal procedures.
  • Commit to continuing professional development requirements, in accordance with internal and external standards.
  • Assist and/or providing training on compliance, AML, and corporate governance.
  • Provide outsourcing, authorization, and projects support to ADGM, DIFC, and onshore firms.
  • Ensure that the regulatory returns and relevant notifications are submitted on a timely basis and acting as a point of contact with the regulator.
  • Undertake client onboarding/KYC.
  • Be the first point of contact for internal suspicious activity reports and when submitting external suspicious activity reports to the financial intelligence unit and regulator.
  • Manage client’s expectations.
  • Attend and contribute to internal meetings.
  • Work with senior staff in investigating and responding to raised compliance risk management issues and preparing routine correspondence.
  • Assist in promoting the firm at various industry and promotional events or producing certain publications.
  • Keep abreast of relevant laws and regulations.
  • Commit to continued learning, remaining well-informed regarding internal standards, and business goals/knowledge sharing.
  • Be responsible for maintaining timesheets daily and are expected to meet certain targets on a weekly basis, as set by management.
  • Be responsible for maintaining, keeping up-to-date, and accurate client files.
  • Contribute to the development and knowledge of Senior Associates and Associates.
  • Assume the role and responsibilities of project manager as required.

FAQs

What is the primary responsibility of the Manager - Compliance Solutions?

The primary responsibility of the Manager - Compliance Solutions is to deliver a quality compliance service internally and for external clients while fulfilling roles such as Compliance Officer, MLRO, Risk Officer, and/or Company Secretary.

What qualifications are necessary for this position?

An internationally recognized professional qualification is required for this position.

What is the minimum experience required for this role?

A minimum of 4 years’ experience in Compliance, AML, or at regulatory bodies is required.

Is there a requirement for compliance or AML certification?

Yes, candidates are expected to possess an AML or Compliance certificate.

What are the key competencies expected for this role?

Key competencies include integrity, attention to detail, strong interpersonal and communication skills, relationship management, teamwork, analytical skills, and commercial awareness.

Will the Manager be involved in training others?

Yes, the Manager will assist in providing training on compliance, AML, and corporate governance.

What kind of clients will the Manager be supporting?

The Manager will provide support to institutional investors, investment funds, asset managers, and onshore firms, particularly in the ADGM and DIFC areas.

Will there be opportunities for professional development?

Yes, there is a commitment to continuing professional development in accordance with internal and external standards.

How will the Manager interact with regulators?

The Manager will act as a point of contact with regulators, ensuring timely submission of regulatory returns and notifications.

Is this role suited for someone who can work independently?

Yes, the role requires the ability to act in a vigorous and independent manner to develop policy and culture across the organization.

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Waystone

Providing certainty in your world

Finance
Industry
1001-5000
Employees
2000
Founded Year

Mission & Purpose

Waystone is a leading global provider of institutional governance, administration, risk and compliance services to the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.