Director Compliance

Company Description

• We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.
• We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion.
• We work with 13 of the world’s top-15 private equity firms.
• Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts.
• Above all, what makes us different is our people.
• Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding.
• We’re driven by our Group purpose, to power people and possibilities.
• ****Job Description****
• The Client Compliance Services department assists client companies of IQ EQ (DIFC) Global Services Limited in DIFC and IQ EQ Middle East Services Limited in ADGM (IQ-EQ UAE) in the following matters:
• Structuring of regulated financial services companies (selection of appropriate license activities considering client’s desired business model as well as available human and financial resources);
• Assistance in authorisation applications in DIFC and ADGM financial free zones, as well as with other regulators (UAE CB, CMA etc.) leading the process end-to-end (except for the legal part such as drafting legal agreements or in case of a fund manager, fund’s documentation);
• Compliance support of licensed firms in ADGM and DIFC, including provision of officers or deputies for the roles of:
• + Compliance Officer

+ Money Laundering Reporting Officer

+ Data Protection Officer

• Ad-hoc advisory and assistance to regulated firms such as compliance health check, support during a regulatory risk assessment/audit, license variation etc.
• Clients support in data protection matters (policy, procedures, training, answers on the registrar’s portal, handling a breach report etc.).
• As a leader of the regulatory compliance team of IQ-EQ UAE, the Director – Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks and to coach them, with the following responsibilities.
• ****Qualifications****
• A degree from reputable university, preferably in the field of law, finance or financial services or directly related to compliance functions.
• At minimum of 8-10 years’ experience in the financial services sector with the minimum of 5 years experience in regulatory compliance.
• Preferred experience at a senior level of at least 2-3 years in consulting firms.
• Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.

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