Compliance Support

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.



Outsourced Compliance Support


Appointing a HOLT consultancy Compliance Officer, MLRO or Risk Officer means you can be safe in the knowledge that the individual is:

  • An authorised individual
  • Fit and proper to carry out the role
  • Qualified and experienced to discharge compliance duties
  • Resident in the United Arab Emirates
  • Knowledgeable about the DFSA rulebook and regulatory obligations
  • Familiar with reporting requirements and timelines
  • Able to train your employees and Board of Directors
  • Able to resolve complex regulatory and compliance issues

Our team of Compliance Officers/MLROs undertake 35 hours of Continuing Professional Development activities each year to keep up to date with compliance issues.



Head Office Support


HOLT consultancy can assist your head office compliance team with support including:

  • Drafting documentation such as a compliance plan, business risk assessment, relevant policies and procedures and assisting with submissions such as the Annual AML return
  • Conducting Know Your Customer due diligence
  • Conducting compliance monitoring
  • Conducting AML training



Compliance manuals and policies

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:

  • Anti-money laundering procedures manual
  • Compliance manual
  • Risk Management policy
  • Compliance and AML plan
  • Compliance Monitoring Programme and related methodology
  • Fraud policy
  • Business Continuity Plan



Risk-based Compliance Monitoring Programme (CMP)


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:

  • Adoption of a monitoring framework by senior management
  • Review the effectiveness of implemented policies and procedures
  • Development of a compliance culture for the firm
  • Prompt corrective or disciplinary action and adequate regulatory reporting as and when your firm becomes aware of a breach of DFSA rules, standards or laws
  • Maintains an audit trail of all compliance activities and findings



Other Services

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Compliance Advice

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Compliance Reviews

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Compliance Remediation

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