1. Conduct customer due diligence requests received from the Client Relationship Department and ensure that it is attended within the timeline
2. Identify compliance issues that require follow-up or investigation,
3. Conduct background checks for every new client and review the personal documentation submitted by clients (KYC Documents).
4. Conduct regular and yearly background checks for existing clients when necessary and as required by any jurisdictions.
5. Review and validation of client company corporate documents such as nominee agreements, Power of Attorney, etc.
6. Issuing and/or verifying standard contractual agreements between new clients and company.
7. Researches, implements, and manages with the department head each jurisdiction regulations and laws, policies and procedures, and public interest laws and advise, oversee, and train compliance staffs on these compliance procedures.
8. Work closely with the department head in overseeing compliance procedures and advice on risk management.
9. Conduct risk assessment, client company audit and ensuring that proper due diligence is performed.
10. Implement control systems to prevent or deal with violations of legal guidelines and internal policies.
11. Implement company policies in relation to UAE AML and other jurisdictions where the company operates.
12. Review physical files before dispatching the corporate documents to the client.
13. Carry out the final file validation before dispatch of client orders or for the transfer to the archives.
14. Prepare reports to authorities and senior management as appropriate.
15. Revising procedures, reports etc. periodically to identify hidden risks or non-conformity issues.
16. Report directly to the department head
17. Other duties as assigned and required from time to time.