Compliance Manager

Role overview

Compliance framework and monitoring

• Develop, maintain, and implement compliance policies, procedures, and controls.
• Monitor regulatory developments and implement relevant changes.
• Conduct compliance monitoring and testing, identify control gaps, and track remediation.
• Maintain the regulatory obligations register and compliance risk profile.
• Investigate and escalate breaches, incidents, and control deficiencies through remediation closure.

Regulatory and financial crime compliance

• Oversee AML/CFT, KYC, sanctions, market conduct, client protection, and conflicts of interest requirements.
• Support financial crime and regulatory compliance framework enhancements.
• Support personal account dealing, market abuse, insider dealing, information barriers, and employee conduct requirements.
• Liaise with UAE regulatory authorities on enquiries, inspections, and information requests.

Reporting and collaboration

• Advise senior management and business teams on regulatory requirements and business activities.
• Prepare periodic compliance reports and management information for senior management and the Board.
• Coordinate with Risk, Legal, Internal Audit, Operations, and other control functions.
• Deliver compliance training and awareness programmes.
• Maintain compliance records, registers, and supporting documentation.
• Support regulatory inspections, audits, reviews, responses, and remediation plans.

Required qualifications and experience

• Bachelor’s degree in a relevant discipline.
• At least 8 years of relevant compliance experience.
• Experience in financial services, capital markets, investment firms, brokerage, asset management, or a similarly regulated environment.
• Strong understanding of UAE financial services regulatory requirements.
• Experience working with one or more applicable UAE regulators.

Advantageous qualifications

• CAMS, ICA, CISI, ACAMS, or an equivalent relevant professional qualification would be advantageous.