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Assists Compliance Officer in all compliance tasks to ensure the Firm meets with regulatory and AML standards required by DFSA. Monitoring transactions to ensure they are consistent within the AML risk profile of the clients,. Whenever necessary coordinate with the MLRO to revise risk profile and undertake enhanced reviews in accordance with AML Procedures Manual of the company.
Maintain regulatory mapping to keep track of all applicable regulations,
Regularly checks the DFSA websites / pronouncements/ consultation papers etc. and discuss with the Compliance Officer of the implications and determine the need for amendments policy and procedures, systems and controls etc.
Supports compliance officer on a day to day basis by responding to queries from market counterparties, regulators & other departments of the firm on client matters and control. Assists the Compliance Officer to identify assess and evaluate regulatory, business and operational risks faced by the Firm and maintain the risk register.
Evaluate risk mitigation plans for top risks faced by the Firm using IRAP and other matrix and prepare reports for the Board.
Monitor trading activities as per established compliance monitoring program.
Act as the coordinator in organizing risk & compliance committee meeting and prepare reports for the on risks and mitigation plans for consideration by the management.
Help the management in developing risk mitigation strategies for the Company's critical risks.
Monitor adherence to risk limits and controls – trading , compliance and enterprise wide risks.
Examine trading limits and other compliance control reports obtained daily from BB and escalate it as necessary.
Responsible for organizing, conducting, drafting and preparing minutes of the Risk and I Compliance Committee Meetings.
Co-ordinate with client relationship team on due diligence and KYC on new clients as well as update KYC of existing clients.
Maintain contracts, files of customer accounts , business partners , custodians , outsource service provider ,
Support in maintaining policies and procedures documents including timely updates to relevant manuals.
Maintain repository of major policies and procedures documents
Asist compliance officer in filing the regulatory and compliance documents and preparing presentations.
Works with compliance officer on the oversight of the compliance management and risk based monitoring program.
Assist in coordinating with internal auditors
Assists with regulatory examinations, including requesting and preparing materials.
Provides on-going support to the compliance officer on ad-hoc special projects, risk assessments, compliance reviews, and other tasks.
Assists with development and delivery of employee training in compliance
Assists with the monitoring and analysis of customer complaints.
Further, the compliance Associate will be responsible for System Administration functions as under:
Responsible for administering asset management systems (Bloomberg and Advent) such as creating client and user profiles, design rule based compliance and control reports.
Verify, report and assess the effectiveness and implementation of the systems and controls in relation to the above systems.
Ensure various renewals and inform Finance Dept. of the upcoming payments pertaining to software service provider.
Providing reports, feedback and recommendations on risk management and software related matters to the senior management on periodic basis.
Bachelor's Degree or equivalent experience plus a minimum of 3-5 years in compliance/ operations.
Proficient computer skills especially Excel, Power point etc.
Ability to understand systems and control requirements in a wealth management and brokerage business.
Must have excellent written and verbal communication skills and be able to deal effectively with all levels of management.
Strong research, analytical and project management skills.
Strong IT administration Skills.
Internal Number: 2713157
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