Assistant Compliance Manager - Wealth Management (UAEN Only)
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Key skills for this role
Role Overview
The Wealth Management Compliance Unit oversees compliance of Wealth Management activities, products, and services with regulatory requirements, internal policies, and international best practices.
The unit supports regulatory compliance, risk oversight, compliance monitoring and reporting, product reviews, and implementation of regulatory updates.
The unit provides advisory support to the Wealth Management business and promotes a controlled compliance culture.
Key Skills for This Role
Full Job Posting
Organization Unit Purpose
The Wealth Management Compliance Unit oversees compliance of Wealth Management activities, products, and services with regulatory requirements, internal policies, and international best practices.
The unit supports regulatory compliance, risk oversight, compliance monitoring and reporting, product reviews, and implementation of regulatory updates.
The unit provides advisory support to the Wealth Management business and promotes a controlled compliance culture.
Main Responsibilities
- Conduct compliance monitoring reviews of Wealth Management products, services, and investment activities.
- Review new products, proposals, agreements, and business initiatives and provide compliance approvals and advice.
- Monitor UAE Central Bank, SCA, and other regulatory updates and ensure their implementation.
- Prepare compliance reports, management information, and regulatory submissions.
- Escalate key findings and issues to senior management.
- Support audits, regulatory inspections, and internal investigations.
- Document, follow up, and remediate identified compliance gaps.
Main Requirements
- Bachelor’s degree in Finance, Business Administration, Law, or a related discipline.
- 1–3 years of experience in Compliance, Wealth Management, or Retail Banking within a regulated financial institution.
- Strong knowledge of UAE Central Bank and SCA regulatory frameworks and investment compliance requirements.
- Excellent analytical, reporting, and problem-solving skills with high attention to detail.
- Strong communication and stakeholder management skills, including interaction with management at all levels.
Workplace
- The position is based in Dubai, United Arab Emirates.
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