Complinet | Recruitment | Job List

Senior Manager, Membership Surveillance

1258532357

Compliance & Regulation | Competitive |

The Dubai Mercantile Exchange (DME) is seeking an experienced compliance manager to work with the Chief Compliance Officer in consolidating best practices within its membership surveillance function. The successful applicant will have a broad understanding of financial services and be capable of advising on technical regulatory issues as well as designing strategic compliance programs.

This is a unique opportunity to be part of a historical, ground-breaking initiative, bringing global standards in commodities trading to the world’s premier hydrocarbon region. The DME is located within the Dubai International Financial Centre (DIFC) and regulated by the Dubai Financial Services Authority (DFSA), with further regulatory approvals, no objection letters or legal opinions from 24 other regulators globally.

Key responsibilities include:

Design member surveillance program
Conduct member reviews, including risk based member audits
Oversight of Guaranteed Customers and Seat Lessees
Interface with CME to assess member compliance with ongoing financial requirements
Assist in resolution of customer and member complaints and inquiries
Conduct member induction and member information sessions
Collation and analysis of member reporting
Advice to Member Relations on new member applications, membership transfers and cancellations
Conduct AML surveillance for member community
Review AML releases from regulatory bodies
Regulatory liaison on member compliance matters
Secretary to the DME Membership Committee

Requirements:

Minimum 5 years of compliance, legal and / or audit experience
Financial services background working for an exchange or a broker/dealer
Experience conducting trading desk and / or branch office reviews
Knowledge of AML regulations and practices
Strong investigative and analytical skills
Excellent presentation skills
Strong work ethic
Self starter
Qualifications in law and / or finance viewed favorably

How To Apply:

Please submit your resume to recruitment@dubaimerc.com no later than 29th November 2009, together with full details of your current and expected remuneration package.

Senior Dubai Regulatory Manager (Supervision) – Current/Former Regulators or Accountants

1257943438

Compliance & RegulationSecurities & Wholesale BankingFund/Asset ManagementInvestment Banking/StockbrokingCommodities/Futures | AED 500K Tax Free + Full Expat package (Paid Accommodation, Education, Travel Allowance etc) + Bonus |

Working for this leading Middle East Regulator and reporting to the Director of Supervision, duties will include;

• Deliver effective and efficient risk-based supervision of the firms as Relationship Manager and subject matter expert or otherwise
o analysis of financial returns
o conducting on-site visits
o conducting theme based reviews
o conducting desk-top reviews
o examining strategy, systems and controls
o producing risk assessments and risk mitigation programmes
o liaison with home state regulatory authorities
• Contributing to the development of effective and efficient supervisory processes and carry out responsibilities in line with policies, procedures and processes
• Participate in ad hoc projects within the department and elsewhere
• Contributing to the on-going development and enhancement of the overall regulatory regime

With solid Compliance experience from a leading financial services centre (i.e. UK & Offshore, Europe, North America or Australasia), you should either currently be (or previously) working for a Regulator or else be an in-house Compliance Officer / Regulatory Consultant with an accounting background (ideally qualified).

Please call Darren Ruskin on 020 7330 6961 for a confidential no obligation chat about this position including salary or send your details to him at Darren@compliancerecruitment.com (or if an existing registered candidate, just a brief email to express interest in this role).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Senior Dubai Regulatory Manager (Markets) – Exchange, In-House or Regulator Experience Req’d

1257943376

Working for this leading Middle East Regulator and reporting to the Managing Director (Markets), duties will include;

• Applying a commercial & risk based approach to the regulation and supervision on the primary markets
• Contribute to the development of the Markets team expertise on the supervision of market institutions, understanding of financial products and regulation concerning licensed markets & products
• Provide technical advice and assistance on financial sector issues relation to the operation of the primary market and the supervision of new products as well as providing input to the formulation of policy/rules concerning these matters
• Undertake high quality research concerning the operations of financial services providers & regulations & standards applicable to markets & financial products

You should have solid experience of the operation and supervision of financial markets & financial products gained from a leading financial services centre (i.e. UK & Offshore, Europe, North America or Australasia). This may have been from a Securities/Futures exchange, a financial services regulator or a senior compliance role.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Compliance Officer – Broker/Dealer or Exchange Exp Needed

1256897120

Compliance & RegulationSecurities & Wholesale BankingCommodities/Futures | AED 25,000PM + Benefits & Bonus |

We are recruiting for a leading Middle Eastern exchange looking for a Compliance Officer. The role will require daily liaison with both existing & potential member firms as well as local regulators. Reporting to the Senior VP of the Compliance & Legal department your duties will include, but not limited too:

• Member firm visits to confirm that they are adhering to the rules & regulations of the exchange
• Liaising with the DFSA to confirm that the Exchange is properly regulated
• Update & maintain both internal & external policies & procedures
• Ad Hoc Projects as required

The successful candidate should have at least 3 years compliance experience from a DFSA authorised firm or from an already established exchange in the region. This role will require the candidate to liaise at differing levels both internally & externally so requires someone who presents themselves well and have the ability to communicate both written & verbally (in English).

Please contact Darren Ruskin on 020-7330 -6961 for a confidential discussion on the role or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Office Manager (& Deputy MLRO) – Must be already Resident in Qatar

1256897186

Compliance & RegulationSecurities & Wholesale BankingFund/Asset ManagementInvestment Banking/StockbrokingCommodities/FuturesInsurance & RetailLife & PensionsRetail General InsuranceMortagesRetail BankingLloyds/Wholesale InsuranceMoney LaunderingInternal AuditRiskOther | $80K +Bonus + Benefits |

We are recruiting for a leading global property investment firm that specialises in optimising the asset values of prime real estate. By combining investment banking & fund management skills with real estate management experience, our client has built up a portfolio of landmark prime properties globally and is now opening its first Middle East office. Reporting to the local CEO your duties will include

• Responsible for overall general office management including general administration, financial accounting and reporting, HR and IT support
• Preparation of monthly financial reports
• General human resources matters including employees contact support, follow up on HR related issues, payroll processing, handling staff insurance matters
• Covering officer for the Money Laundering Reporting Officer (MLRO)
• Contact point for Anti-Money Laundering (AML) issues in the absence of the MLRO

You must be fluent in English and have previous office experience with good secretarial & IT Skills and already be a Qatari resident. Any previous Compliance or AML experience would be advantageous, but more important are excellent communication & time management skills, with a flexible working attitude.

Please contact Darren Ruskin on 020-7330 -6961 for a confidential discussion on the role or send your details to him as below.

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

Fraud Investigator

1257428383

Senior Associate, Authorisation & Supervision

1257428199

Associate Director, Anti-Money Laundering

1257428036

Associate Director, Anti-Money Laundering

1257428034

Associate Director, Asset Management

1257427711

Compliance Analyst - Large Financial Institution

1256839109

Fund/Asset ManagementInvestment Banking/StockbrokingCommodities/Futures | AED 20k - 30k/month + good benefits (ALL TAX FREE) - equivalent of up to c.£60k (excl. benefits) |

JMEWDIM3

Dubai

AED 20k - 30k/month + good benefits (ALL TAX FREE) - equivalent of up to c.£60k (excl. benefits)

Compliance Analyst - Large Financial Institution - DFSA Regulated firm

I am working with a large financial conglomerate who are looking to hire a compliance professional due to the constant expansion (and success) in the Middle Eastern markets. The individual will preferably have prior experience working in a wholesale environment (Investment Banking, Broking or Investment Management) and ideally this will have been from a DIFC listed company (but this is not essential).

The individual will cover a broad range of duties from the monitoring of the portfolio to carrying out advisory duties and due diligence checks. The successful incumbent must be able to pick new concepts up quickly and be a good team player. Experience gained out of Dubai is also acceptable but this will have come from a top tier regulatory market (FSA etc.). A degree of understanding of the Middle Eastern markets would be favourable.

If you wish to learn more about this role please send your CV to ewacher@jmagill.com or call Ed Wacher on +44 (0) 207 614 7695.

Compliance Analyst - Large Financial Institution

1256315093

Fund/Asset ManagementInvestment Banking/StockbrokingCommodities/Futures | AED 20k - 30k/month + good benefits (ALL TAX FREE) - equivalent of up to c.£60k (excl. benefits) |

JMEWDIM3

Dubai

AED 20k - 30k/month + good benefits (ALL TAX FREE) - equivalent of up to c.£60k (excl. benefits)

Compliance Analyst - Large Financial Institution - DFSA Regulated firm

If you wish to learn more about this role please send your CV to ewacher@jmagill.com or call Ed Wacher on +44 (0) 207 614 7695.