Peregrine Limited, a FSRA Cat 3C license holder, was established to develop a next-generation, blockchain-driven investment platform to meet the growing demand from both managers and investors for digital assets (tokens). Bringing together significant investment management expertise and specialist digital asset market infrastructure developers, Peregrine is supported by the ADGM and works alongside the ADGM’s best-in-class service providers in developing the region’s financial and digital asset ecosystem. In addition to the investment platform, Peregrine’s clients leverage its expertise in structuring, compliance, investment operations and capital raising. We are looking for a mid-senior level compliance and AML professional to ensure our company adheres to regulatory requirements. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. A great Compliance Manager is well-versed in legal guidelines and corporate governance best practices. They are professionals of high ethical standards and work diligently to complete their duties keeping in mind the objectives of the business. You must be comfortable saying “no” when necessary and be result-oriented. The goal is to preserve the company’s integrity by making sure it stays on a lawful and ethical course. Reporting to Head of Compliance, Compliance Manager will be responsible for managing firm's compliance risk regarding conduct, compliance training, compliance monitoring, sanctions compliance and regulatory requirements.


(Job Purpose) In the first month, expect to:

• Develop a knowledge and understanding of the Peregrine business, strategy, services and products
• Develop a knowledge around digital assets and FSRA regulatory requirements relating to digital assets
• Assist with onboarding new clients, conduct due diligence checks and ongoing AML reviews for existing clients.
• Provide training on compliance, AML and corporate governance topics.

In the first three months, expect to:

• Participate in operations and compliance committee meetings
• Recognize and bring to management's attention compliance and AML risks that need to be mitigated and suggest remedial actions.
• Update compliance monitoring program and commence compliance monitoring reviews.
• Establish and maintain compliance and AML policies and procedures, systems and controls.
• In the first year, expect to:
• Become a renowned digital asset compliance expert

Responsibilities

• Execute and supervise business AML risk assessment, compliance training, client onboarding, transaction monitoring, compliance monitoring, and regulatory reporting as required.
• Design, review and revise compliance policies, procedures and controls to meet applicable regulatory requirements.
• Receive suspicious activity reports from staff, escalate internally or act on them as required and report them to the FIU via GoAML.
• Develop and oversee control systems to prevent or deal with violations of applicable regulatory requirements and internal policies.
• Evaluate the efficiency of controls and improve them continuously.
• Prepare reports for senior management and external regulatory bodies as appropriate.
• Keep abreast of developments within or outside of the company as well as evolving best practices in regulatory and financial crime compliance.
• Assist head of compliance and assume the role in their absence.

Requirements

• Minimum 5 years overall industry experience with 3 or more years of direct Compliance and AML experience within the financial services industry in DIFC or ADGM. Candidates with compliance experience within capital markets/fund management/hedge funds or investment banking are preferred.
• In-depth knowledge of applicable rules and regulations, including AML/CTF/Sanctions, Conduct of Business, FATCA/CRS, and Data Protection.
• Excellent knowledge and experience of AML, client due diligence, onboarding of clients.
• Experience in compliance monitoring.
• Proven experience as an authorized individual (or shadowing an authorized individual) for an authorized firm in the DIFC or ADGM.
• Team player with excellent stakeholder communication skills.
• Combining compliance knowledge with business acumen.
• Methodical and diligent with outstanding planning abilities.
• An analytical mind is able to "see" the complexities of procedures and regulations.
• BSc/BA in law, finance, business administration or related field
• Certified compliance professional is a plus. Candidates with CAMs, CISI or ICA certifications are highly desired.
• Excellent English written and verbal communication, strong analytical, problem solving and organization skills.ae

Benefits

• Base in AD, with additional office locations in UK and USA

• Competitive compensation package

• Competitive benefits package

• Reasonable flexibility in working hours