Director, Compliance

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 Risk 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.