Senior Compliance Officer (Dubai)

Key Responsibilities

• Assist in Communications Surveillance of office staff escalating all related issues with the Head of Compliance
• Assist in completing daily transaction monitoring reviews against market abuse escalating all related issues to protect the business
• Conduct regular trade reviews and reconstructions escalating all related issues to the Head of Compliance
• Collaborate with different company departments to monitor enforcement of standards and regulations
• Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate
• 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
• Communicate efficiently with the respective client and/or broker to gather all necessary information
• Responsible for coordinating all KYC documentation request and ado...