Director, Compliance

Client Compliance Services Overview

The Client Compliance Services department assists client companies of IQ EQ (DIFC) Global Services Limited in DIFC and IQ EQ Middle East Services Limited in ADGM (IQ-EQ UAE) in the following matters:

• Structuring of regulated financial services companies (selection of appropriate license activities considering clients desired business model as well as available human and financial resources)
• Assistance in authorisation applications in DIFC and ADGM financial free zones as well as with other regulators (UAE CB CMA etc.) leading the process end-to-end (except for the legal part such as drafting legal agreements or in case of a fund manager funds documentation)
• Compliance support of licensed firms in ADGM and DIFC including provision of officers or deputies for the roles of:
  • Compliance Officer
  • Money Laundering Reporting Officer
  • Risk Officer
  • Data Protection Officer