Anu Singh Email & Phone Number

Specialising in ongoing compliance support and DFSA authorisations. Authorised by the DFSA as the Compliance Officer and MLRO for Firms across DFSA prudential categories 3C and 4 and has assisted clients of different regulatory categories with their day-to-day compliance requirements. Have assisted firms in remedying deficiencies and implementing a robust and relevant compliance framework in line with DFSA’s requirements. On the licensing side, have assisted a number of clients obtaining their DFSA license and this work includes advising clients on the drafting of regulatory business plans, designing bespoke systems and controls covering compliance, anti-money laundering, governance and risk matters, and providing clients with general advice along the authorisation process.Recent work includes:• Providing compliance support to a DFSA Category 1 Licensed Firm.• Providing ongoing compliance and AML consultancy support to Category 3C and 4 DFSA Authorised Firms.• Conducting Compliance Monitoring Programmes for a number of DFSA Authorised Firms.• Managing the DFSA authorisation for two Category 1 Firms.• Conducting a high-level regulatory review for a DFSA Category 3C Firm to assess the existing systems and controls in-line with the DFSA rules and regulations• Delivering Compliance and AML training to DFSA Authorised Firms.• Designing bespoke policies and procedures for new entrants to the DIFC regulatory environment covering compliance, anti-Money laundering, governance and risk.• Providing ongoing support to an International Investment Bank specialising in online trading and investment regulated by the DFSA and the Central Bank of UAE as a Representative Office.

Listed skills include Corporate Governance, Aml, Fraud, Operational Risk, and 6 others.