Compliance Officer (SCA Regulated)
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Key skills for this role
About the Role
We are seeking an experienced and certified Compliance Officer to oversee regulatory risk across Dubai-based capital operations. The role involves designing and maintaining an institutional-grade compliance and AML framework aligned with SCA regulations.
Key Skills for This Role
Responsibilities
- Develop, implement, and maintain compliance policies aligned with SCA regulations and UAE federal laws
- Act as primary point of contact for SCA, FIU, and other UAE regulatory authorities; manage inspections and audits
- Establish and supervise AML/CFT programs including enterprise wide risk assessments
- Conduct compliance monitoring, transaction testing, internal reviews, and gap analyses
- Review and sign off on marketing materials and external communications for regulatory compliance
- Prepare and submit regulatory reports, SARs, and ad hoc compliance filings
- Design and execute compliance and AML training programs for staff
Requirements
- Bachelor’s degree in Finance, Law, Business Administration, or related quantitative field
- Valid Chartered Institute for Securities & Investment (CISI) qualification
- Minimum 5+ years of direct compliance experience within a regulated financial institution, brokerage, or investment firm in the UAE
- Deep knowledge of UAE SCA rules and regulations
- Mastery of AML, KYC, sanctions screening, and risk management methodologies
Full Job Posting
Position Overview
- We are seeking an experienced and certified Compliance Officer to oversee and manage regulatory risk across our Dubai based capital operations.
- The successful candidate will design, implement, and maintain an institutional grade compliance and AML framework aligned with SCA regulations.
Key Responsibilities
- Develop, implement, maintain, and continuously update comprehensive compliance policies and procedures aligned with SCA regulations and UAE federal laws.
- Act as the primary, official point of contact for the SCA, FIU, and other relevant UAE regulatory authorities; manage all regulatory inspections, inquiries, and audits.
- Establish, supervise, and update rigorous AML and CFT programs, including enterprise wide risk assessments.
- Conduct regular compliance monitoring, transaction testing, internal reviews, and gap analyses to proactively identify and mitigate vulnerabilities.
- Review and sign off on all marketing materials, promotional campaigns, investor presentations, and external client communications for regulatory compliance.
- Prepare, validate, and timely submit mandatory regulatory reports, SARs, and ad hoc compliance filings.
- Design and execute continuous compliance and AML training programs for all staff levels.
Requirements & Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a highly related quantitative field.
- Valid CISI qualification is strictly required; must meet requirements for immediate SCA certification/approval eligibility.
- Minimum of 5+ years of direct compliance experience within a regulated financial institution, brokerage, or investment firm in the UAE.
- Deep, verifiable knowledge of UAE SCA rules, regulations, and operational guidelines.
- Mastery of AML, KYC onboarding architectures, sanctions screening protocols, and macro level risk management methodologies.
Work Location
- In person
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