Senior Associate – Compliance & Secretarial Job in Dubai

  • Full Time
  • Dubai
  • Posted 3 months ago


Job Description

  • Overseeing the day-to-day operation of IQ-EQ and client policies, procedures, systems, and controls to ensure compliance with applicable laws and regulations and Group minimum control standards
  • Identifying compliance and money laundering risks and advising on improvements to the client’s control framework
  • Developing, initiating, maintaining, and revising policies and procedures to ensure compliance with various regulatory and legal requirements
  • Keeping clients up to date on changes in DIFC and DFSA laws / regulations and the implications of these changes on their business
  • Preparing firms for regulatory risk assessment visits
  • Prepare reports for relevant IQ-EQ’s governance committees/ board and client board, as appropriate
  • To assist in the investigations and maintenance of Registers for Incidents and Client Complaints To assist in the management of the Business Resilience Framework at IQ-EQ
  • Liaising with the regulators on behalf of clients
  • Maintaining accurate and up to date regulatory files and registers
  • Drafting and executing compliance monitoring and testing programmes and perform desk-based reviews to ensure compliance with regulatory and internal procedures
  • Liaise with regulators to obtain licences, authorisations and consents and making ad hoc notifications, process applications for the registration and withdrawal of Authorised Firms and Individuals
  • Assisting clients with drafting / maintaining agenda, resolutions, and minutes of board meetings/AGM
  • Assistance in corporate filings through DIFC portal for license renewals and various corporate actions
  • Maintaining and updating corporate secretarial records including statutory registers.
  • Carry out AML & KYC/CDD checks on new directors, shareholders (up to beneficial owners), investors and investee companies and to escalate any gaps identified/Review CDD trackers prepared by Associate and Junior Associate.
  • To provide support in other compliance and corporate secretarial deliverables


  • CAMS certification, ICA Diploma, ICSA, ACCA or equivalent
  • Minimum 2 years of experience in a similar role
  • Experience in compliance and corporate secretarial matters
  • Sound knowledge of DFSA / FSRA regulations relevant legislation affecting DIFC / ADGM entities

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