Associate Compliance Manager/Compliance Manager

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<p>The role will oversee the bank's AML/KYC framework and regulatory compliance activities with a focus on supporting wholesale banking operations. </p><p><br></p><p><strong>Key Responsibilities</strong></p><p>1. AML/KYC Governance & Client Life-cycle Management</p><ul><li>Oversee end-to-end KYC renewals and onboarding for all clients, including Enhanced Due Diligence(EDD) for high-risk relationships.</li><li>Monitor and resolve overdue items and exceptions in KYC due diligence workflow promptly.</li><li>Conduct assessment of STR/SAR alerts and coordinate with business units to complete EDD cases.</li><li>Handle sanctions-related transaction screening and retrospective screening alerts.</li><li>Perform sampling and audits of KYCs completed by KYC teams.</li><li>Maintain compliance system parameters(e.g., risk rating and watch-lists) to ensure accuracy.</li></ul><p>2. Regulatory Compliance & Reporting</p><ul><li>Serve as the Primary responsible for UAE FIU IEMS reports and assist the MLRO in responding to inquiries from regulators.</li><li>Prepare and distribute enforcement case studies to branches and develop quarterly regulatory trend reports.</li><li>Prepare various operational reports for branch management/Head Office.</li><li>Support the preparation work of the DFSA Annual Return filing and AML Risk Assessment.</li></ul><p>3. Policy, System & Risk Oversight</p><ul><li>Assist in reviewing, updating, and implementing Compliance/AML policies in alignment with DFSA regulations.</li><li>Conduct initial Risk assessment for customers and transactions, and escalate to the department head.</li><li>Lead remediation of Head Office/Internal Audit findings and implement preventive measures.</li><li>Support optimization of bank systems( Screening tools, case management).</li></ul><p>4. Compliance Committee</p><ul><li>Prepare materials, presentations, and minutes for Quarterly Compliance Committee Meetings.</li><li>Drive ad-hoc initiatives: system enhancements, regulatory gap analyses, and training programs.</li></ul><p>5. Training</p><ul><li>Support the preparation work of compliance-related training sessions for new employees, business departments.</li></ul><p><br></p><p><strong>Qualifications</strong></p><ol><li>Bachelor's degree in Finance, Law, Business, or related field.</li><li>Over 3 years of financial sector experience, with banking compliance experience preferred.</li><li>Knowledge of AML/KYC operations, including STR/SAR assessment, EDD, and client life-cycle management.</li><li>Experience in Risk Governance, including Audit remediation, policy implementation, and banking businesses compliance reviews.</li><li>Knowledge of Analytical Rigo, including sampling, exception resolution, and risk rating validation.</li><li>Experience in Project Execution, including system optimization, training, and gap analysis.</li><li>Fluent in English, Mandarin proficiency is a strong plus.</li><li>A collaborative mindset towards business and compliance teams.</li></ol>

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