Position Overview
- Own the CMA (SCA) license application end-to-end: documentation, submissions, regulator meetings, and responses to queries
- Be named as the designated Compliance Officer; obtain and maintain personal fit & proper approval
- Serve as the Company`s primary liaison with relevant regulatory authorities.
- Design the UAE Compliance Framework: policies manual, compliance monitoring program, internal controls register, and client classification
- Prepare and submit the Annual Compliance Report (ACR) and semi-annual internal controls reports to the CMA
- Act as the named MLRO with full statutory responsibility, register and maintain MLRO designation on the UAEFIU goAML system
- Build the Compliance Management Framework (CMF) specifically for Category 5 activities: Investment Intermediation, Client Classification (Retail vs. Professional), and Suitability Assessments
- Manage the end-to-end STR lifecycle: alert review, investigation, goA...