Job details
A wealth management company is looking for a Compliance Operations Manager with Regulatory Interaction Experience who will play a critical role in ensuring the timely and effective implementation of the annual compliance and data protection plan while continuously optimizing processes to meet regulatory demands and mitigate risks. This role is essential for safeguarding the company's compliance with regulatory requirements and improving overall operational efficiency. The successful candidate must have:
- Demonstrated experience interacting with regulators (ADGM / DIFC) in at least one of the following areas: thematic review visits, regulatory visits, FATCA/CRS compliance checks , Ad-hoc regulatory reviews.
- Experience managing or directly interacting with internal and external audits, particularly in the areas of Risk assessment and risk management; Gap analysis and development of action plans for rectification.
- Strong technical and hands-on knowledge of FATCA/CRS ; In-depth understanding of compliance monitoring programs related to transaction monitoring and regulatory analysis and change implementation.
- Proven ability to optimize, manage, or create business processes; Experience in leading the creation and modification of policies and procedures to enhance operational effectiveness and ensure compliance.
- Initiative and demonstrate proactive problem-solving skills; Possess a complex and wide perspective of solutions (broad-minded approach).
- Regulatory Compliance Oversight: Act as the key point of contact for ensuring compliance with all applicable rules and regulations, including AML/CTF/Sanctions, Conduct of Business, FATCA/CRS, and Data Protection. Keep the company informed of any changes and ensure they are effectively implemented.
- Compliance Risk Identification & Assessment: Conduct and oversee detailed information gathering, process mapping, and analysis to identify and assess potential compliance risks; General compliance checks, training, and regulatory reporting. Ensure all processes meet company and regulatory expectations.
- Regulatory Reporting & Documentation: Prepare and deliver reports to senior management, auditors, and external regulatory bodies. Ensure that all reporting is thorough, accurate, and completed within required timeframes.
- Regulatory Change Monitoring: Stay up to date with evolving regulatory changes and best practices; Perform gap and business impact analysis and proactively implement adjustments to maintain compliance and operational efficiency.
- AML Compliance & Risk Mitigation: Oversee systems and controls to identify and mitigate AML compliance vulnerabilities and risks; Develop and implement corrective action plans to address any gaps or deficiencies in the compliance framework.
- Competitive salary based on the results of the interview;
- The opportunity for career and professional growth;
- Great work environment & culture;
- Deep pool of knowledge and expertise interaction.
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Hiring company
ACM Limited
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