01Overview
Role & responsibilities: :
- Adhere to the highest degree of integrity, skilled standards and strict confidentiality.
- Collaborate with various stakeholders to ensure compliance with the applicable AML, TFS and PF regulations, promote a culture of integrity and mitigate risk.
- Act as the primary point of contact with the client during the onboarding process, and coordinate with engagement team and the Risk and Compliance Team to effectively ensure that all onboarding requirements are completed and met in compliance with the AML regulations. These would include;
a) Communicate effectively to gather necessary KYC information and documentation from the clients.
b) Collect and verify client information, ensuring compliance with regulatory requirements such as background verification, UBO identification, KYC forms, Risk Assessment etc.
c) Liaise with the R&C; Team to complete Client Risk Assessment (CRA). In case of High Risk Client, assess the Source of wealth and Funds as part of Enhanced Due Diligence
d) Prepare the client acceptance form in the ERP system against valid CRA, and ensure that all client data is accurate and up to date, prior to the review by the Engagement Manager.
e) Prepare and review legal documents (e.g. Non-Disclosure Agreement, Terms of Business) related to client onboarding
- To have monitoring responsibilities for routine processes and report exceptions to the reporting manager.
- Support the team with Dubai International Financial Centre (DIFC), Abu Dhabi Global Market (ADGM) and MOE annual regulatory compliance filing.
- Assist in implementing effective controls within the Advisory Team to ensure that client risks to the firm are captured effectively.
- Keep up to date with developments in AML and CTF and other industry standard development.
Preferred candidate profile :
- Relevant Anti Money Laundering qualifications / ACAMS
- Education: Bachelors degree in business administration, Commerce, Accounting, or Law is a minimum requirement. Candidate specialized degree, such as a Bachelor of Laws (LLB) or certifications like CFE (preferred).
- Experience: 3+ years of relevant experience
- Communication: Excellent verbal and written communication skills. Ability to articulate complex information clearly and concisely.
- Organizational Skills: Strong attention to detail and ability to manage multiple priorities effectively.
- Problem-Solving: Analytical mindset with the ability to troubleshoot issues and find practical solutions.
- Technical Proficiency: Familiarity with ERP software, database management, MS office skills or client management systems.
- Any other compliance certification is encouraged .
