HOLT consultancy provides Compliance Officers and MLROs on an outsourced basis or for temporary cover when there are unexpected staff absences.
Where the DFSA has waived the requirement for a UAE resident Compliance Officer / MLRO, HOLT consultancy can support your head office with local compliance needs.
We also provide mentoring for less experienced Compliance Officers, MLROs and Risk Officers.
Appointing a HOLT consultancy Compliance Officer, MLRO or Risk Officer means you can be safe in the knowledge that the individual is:
Our team of Compliance Officers/MLROs undertake 35 hours of Continuing Professional Development activities each year to keep up to date with compliance issues.
HOLT consultancy can assist your head office compliance team with support including:
Our Compliance manuals and AML manuals are tailored to your firm's business and requirements and clearly and simply explain the compliance obligations of your employees in their day to day business, adhering to any Group-wide policies or procedures that you may be required to comply with.
We can assist in drafting the following:
HOLT consultancy's risk based monitoring methodology and programme can be tailored to your firm in terms of its scope, coverage and frequency of testing.
This means you can see which DFSA rules apply to your firm and the risk mitigation and controls you need to implement in order to reduce the likelihood of a breach.
The CMP is designed, inter alia, to accomplish the following: