Senior Compliance Officer – FX
ADS Securities in Abu Dhabi, UAE is offering a unique opportunity to join the fastest growing Middle Eastern trading platform, providing sophisticated Forex and Bullion trading solutions to institutional and professional investors.
Located in a stable yet fast paced environment, ADS Securities is developing a new and dynamic Forex market from the far-east to Europe for 24/6 investors.
As part of our continuing growth, ADS Securities is seeking dynamic and committed professionals for the role of a Senior Compliance Officer
Reporting to the ADS Securities Compliance Manager in Abu Dhabi, this role will be responsible for the creation and effective implementation and management of compliance policies and procedures as required by the UAE Central Bank.
General Compliance Duties:
• monitoring and, on a regular basis, assessing the adequacy and effectiveness of the measures and procedures put in place by management and the actions taken to address any deficiencies in the Company’s compliance with its obligations
• advising and assisting the relevant persons responsible for carrying out investment services and activities to comply with the Company’s obligations to the Regulatory Authorities.
• completing all statutory filings (including regulatory application and license processing)
• overseeing, implementing and monitoring ADSS’s compliance policies and procedures on an on-going basis
• providing training to ensure on-going implementation and monitoring
• acting as the deputy central point of contact internally for all compliance-related issues
• co-operating with and liaising with the UAE Central Bank and other relevant regulatory authorities as required
• reporting directly to the Head of Compliance on a regular basis on general compliance issues and more frequently with specific issues as necessary
• Managing local client due diligence and onboarding procedures
This individual will be responsible for ensuring that:
• There are appropriate and up-to-date anti-money laundering procedures in the firm;
• All staff receive relevant training;
• Registers of anti-money laundering (“AML”) enquires from, and disclosures to the Regulatory Authorities, are maintained;
• All relevant records are retained in the correct format and for the appropriate period of time; and
• Suspicious transactions are investigated and reported where necessary to the governmental, supervisory and regulatory authorities.
As the ideal candidate you will have a Bachelor Degree or equivalent and have a solid understanding of Compliance Principles and in particular, UAE Central Bank regulations. Coming from a Brokerage, Trading or Investment Banking environment you will be able to handle high pressure environments and have excellent people management skills. Flexible and motivated, you will be comfortable in the creation and adaption of Procedure documents.
In return, ADS Securities will provide you an exciting career path with generous rewards for individuals with a flair and passion to succeed.
If you would like to be part of a team that is making a big impact on the way global forex and bullion markets operate please apply today.
About the Company
About the Company
Abu Dhabi-based ADS Securities provides sophisticated forex, bullion and commodities trading solutions to institutional and professional investors.
Current clients include global and regional hedge funds, central banks, asset managers, market-using banks, other non-bank financial institutions and qualified trading professionals.
ADS Securities is the fastest growing Middle East based trading platform which brings together excellence in technology, world class liquidity and international standards of service to provide traders with exceptional spreads and prices.
Located in a stable and resilient marketplace, with a high level of capitalisation, ADS Securities is developing a new and dynamic forex market. Leveraging its relationships with tier 1 primary brokers and liquidity provides and by bringing in regional liquidity, ADS Securities is extending the trading hours of the major markets – bridging liquidity flows from the far-east to Europe, maintaining spreads and prices for 24/7 investors.