Compliance Specialist

Investsky

We are looking for someone passionate about building the next big thing and making a true impact in the region.

About the role

InvestSky hold a category 4 license and are regulated by the DFSA. Our customers put trust in us, and we're looking for a Compliance Officer/MLRO to work closely with the regulators.

Key Responsibilities:

• Administering Relevant Policies & Procedures - Review and advise on areas of regulatory change and applicable best practices and update the relevant manuals and procedures as necessary.
• Liaising with Regulators - Maintain close liaison with the relevant regulatory bodies and obtain any necessary licenses, and consents, make ad hoc notifications, file periodic regulatory returns, and provide information upon request.
• Provision of Advice & Support - Review any marketing materials and make the necessary AML/KYC checks promptly to ensure compliance with regulatory requirements. Provide guidance and advice to the Board and senior management on any local regulatory matters.
• Compliance Monitoring and Management Reporting - Conducting quarterly compliance monitoring and surveillance, reporting to the Board and senior management on the appropriateness and effectiveness of the Firm s systems and controls, and implementing any required. enhancements.
• Record Keeping - Maintain proper records about controllers, senior management apportionment, authorized individuals, breaches, fitness and propriety, complaints, training and competence, conflicts identification and management, communications and marketing, client-related documentation, regulatory returns, and notifications made.
• Filing of Regulatory Returns - Preparation and filing of all required reports.

Competencies

• Knowledgeable and comfortable with regulation.
• Attention to detail and strong analytical skills.
• Excellent written and verbal communication skills.

Nice-to-have

• Experience with retail clients.
• Certified Anti-Money Laundering Specialist (ACAMS).

Benefits

• Market-standard compensation;
• Generous Employee Stock Ownership Plan in line with our belief that our employees should be owners of the company and not just contributors;
• You'll never have to pay for our premium paid plans ;)
• Being part of a founding team building something revolutionary in FinTech in the region.