Compliance Associate

at  RJ OBrien Associates LLC

POSITION SUMMARY:

The Compliance Associate reports to the Senior Compliance Analyst and will be responsible for assisting in providing Core Compliance services including, carrying out the Firm’s Compliance Monitoring Programme In addition, this role will work closely with the other members of the Account Onboarding team to ensure the Firm’s compliance with DFSA and exchange rules and regulations.

EXPERIENCE & SKILLS REQUIRED:

• Strong attention to detail and organizational and analytical skills are essential.
• Ethical and understands the importance of complying with the rules.
• Good interpersonal skills
• .
• Proactive, with the ability to pick up an issue, run with it and provide timely feedback.
• Must be able to work on a number of different tasks at the same time.
• General and good understanding of Microsoft Windows desktop operating system and PC skills.

Responsibilities include, but are not limited to:

• Developing and maintaining a good understanding of the Firm’s business and the regulatory framework in which it operates. This includes understanding of the DFSA rules.
• Developing good working relationships with Broking staff, Operational staff and Senior Management.
• Performing monitoring reviews, as detailed in the Compliance Monitoring Programme, which are designed to identify compliance with the Firm’s policies and procedures, evaluate issues/concerns and appropriately escalate.
• Where necessary, conducting communications monitoring (voice and electronic) to ensure compliance with the Firm’s policies and procedures, evaluate issues/concerns and appropriately escalate.
• Writing reports that present monitoring results, capturing findings and remedial actions identified in order to mitigate the firms risks.
• Tracking agreed remedial actions through to conclusion.
• Monitoring routine training and assessments to the business in relation to the firm’s regulations, policies and procedures.
• Assisting with regulator, exchange and audit requests, including the retrieval of data .
• Support and conduct day-to-day Compliance tasks, ad-hoc projects and work and other duties as and where required.
• Assisting with the preparation of Management Information.
• Assisting the business with counterparty AML requests.
• Understanding procedures and processes applicable to own role.
• Other compliance related duties as assigned by Compliance Officer.