Advise and assist the Board of Directors and Senior Management in achieving 
compliance objectives.

Draft and maintain Compliance and Anti Money Laundering (“AML”) policies and procedures.

Liaise with the regulators (DFSA, FSRA, VARA, CBUAE, SCA, etc.).

Conduct periodic compliance monitoring reviews.

Prepare for on-site visits and liaise with the FIU on suspicious transactions.

Undertake client due diligence (know your client) assessments and reviews utilizing appropriate onboarding solution.

File periodic compliance and AML reports with the senior management, board and regulators.

Provide appropriate compliance & AML training to all staff.

Participate in periodic senior management and board meetings to discuss relevant compliance matters.

Maintain and update the risk management manual.

Assist with the development and maintenance of the operational risk program.

Perform monitoring and surveillance of operational, credit and other risks highlighted in the risk management policy.

Provide support and guidance to staff on operational and other relevant risks.

Produce risk management reports as required in the risk management policy.

Assist with regulatory enquiries.

Identify, log and resolve risk issues.

Assist with ad hoc projects, monitoring tasks and regulatory change.

Produce the periodic risk assessments and associated capital adequacy assessments.

Maintain the accounting policy and procedure manual.

Monthly review and evaluation of entire book-keeping schedules ensuring they comply with professional standards, IFRS and the firm policies.

Ensure compliance with established internal control procedures by examining all financial records, reports, operating practices and documentation.

Verify assets and liabilities by comparing items to documentation.

Prepare the balance sheet substantiations for all accounts.

Assist and support internal and external audits.

Prepare annual financial statements.

Critical review of findings or significant areas in the financial reports to raise questions involving accounting principles, auditing standards, accounting standards, tax regulations and firms polices.

Regulatory return review and submission.

Prepare and maintain: Chart of accounts, General ledgers, Payroll register, Fixed Asset Register, Prepayment schedule, Accrued Liability schedule, Other schedules, if required

Maintain physical records of payment vouchers, invoices, agreements and all supporting documents

Ensure integrity and accuracy of the accounting records and accounting system data.

Assist and support internal and external auditors.

Prepare financial statements and supporting schedules.

Assist in preparing the monthly and quarterly VAT returns.

Verify on an ongoing basis assets and liabilities against documentation.

Executing the role of company secretary of the regulated entity.

Maintaining a calendar of reporting obligations.

Maintaining share and officer registers.

Creating and issuing share certificates for members of the firm.

Handling minutes, notices, agendas etc. & Records of AGMs, EGMs, directors’, audit, risk, compliance committee meeting.

Preparing and filing the annual return with the registrar.

Renewal of the firm’s commercial license.

Filing audited accounts with the registrar. Interactions with the registrar. Certifying copies of the firm’s constitutive documents.

Oversee, maintain and monitor the Data Protection Policy and Control Framework including issuance of guidance and procedures that make up the Data Protection Framework and trainings.

Monitor Data Protection laws and regulations relevant to the firm’s processing operations, performing impact assessments, advising and reviewing compliance measures.

Act as the first point of contact for supervisory authorities and for individuals whose data is processed (employees, clients etc.)

Inform and advise the firm and its employees about their obligations to comply with the data protection laws.

Institute and oversee Data Protection Impact Audit (“DPIA”) for processing “high risk” Personal Data processing to the extent required by applicable Data Protection laws and regulations.

Advise business or designated departments handling data subject rights exercised by clients and firm’s staff respectively and oversee response process.

Determine Personal Data breaches requiring notification to the regulators and/or data subjects.

Receive and act upon any relevant findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions issued or made by the Commissioner.