Senior Associate, Compliance and Regulation
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Key skills for this role
About the Role
The role involves compliance consulting, risk assessments, client advisory, and regulatory engagement, requiring strong communication and compliance experience.
Key Skills for This Role
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Overview
- As a Senior Associate within an expanding team, you will gain exposure to exciting projects.
- In addition, your career and development opportunities are unparalleled with exposure to clients from day one.
- Being part of a specialist group, but within a truly global firm, means your personal impact will be instant and supported to carve out a growth path with an attractive compensation package.
- As a Senior Associate you will work mainly in Asset management industry to:
- Undertake reviews following a risk based approach, identifying control failings and operational weaknesses across a range of firms.
- Provide on the job and ad hoc advice and support to clients.
- Draft reports for firms and international regulators.
- Collate and manipulate data, visualising trends and patterns in performance.
- Prepare pitch documents and proposals for potential work and engage in business development activities.
- Act as outsourced CO/MLRO/Deputy MLRO for ADGM and DIFC regulated asset management clients, including managing AML/CFT frameworks, compliance monitoring, regulatory filings, and ongoing advisory.
- Oversee and update compliance policies, procedures, risk assessments, and monitoring plans for regulated clients.
- Lead or support licensing and authorisation projects for ADGM and DIFC entities, including regulatory business plans, governance frameworks, and regulator engagement.
- Conduct compliance audits, AML reviews, and gap assessments, providing clear findings and remediation recommendations.
- Liaise with regulators (FSRA/DFSA) on behalf of clients, ensuring timely and accurate submissions and notifications.
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