Compliance Officer (UAE National) - DIFC

Compliance Officer (Fixed-Term Contract)

Role Purpose

Compliance Officer (Co)

Global Group Policies

Uae Federal Laws

Dfsa Rulebook

1. Regulatory Compliance & AML Oversight

• DFSA Liaison:
• Act as the primary point of contact for the

Dubai Financial Services Authority (Dfsa)

• and relevant UAE Federal authorities.
• AML Management:
• Oversee the day-to-day adherence to AML policies, systems, and controls.
• Reporting:
• Lead the identification, investigation, and submission of

Suspicious Activity Reports (Sars)

Goaml

• portal.
• Regulatory Watch:
• Maintain a comprehensive repository of evolving laws and ensure internal manuals are updated annually to reflect regulatory shifts.
• 2.
• Financial Security & Client Due Diligence (KYC/CDD)
• High-Risk Advisory:
• Provide expert guidance to Business Lines and Client Lifecycle Management teams regarding

KYC, KYI, and KYX

• processes.
• Risk Decisioning:
• Render formal decisions on complex files, including

Peps

• , sanctioned jurisdictions, and opaque corporate structures.
• Strategic Committees:
• Actively contribute to the

Client Acceptance Committee (Cac)

• and New Activity/Product Committees (TAC/NAC).
• Sanctions Monitoring:
• Oversee transaction monitoring against Global, Local, and

Ofac

3. Market Integrity & Professional Ethics

• Ethics Framework:
• Manage policies regarding Personal Account Dealings, Gifts & Hospitalities, and Conflicts of Interest.

• Surveillance & Investigations

4. Protection of Client Interests (PIC)

• Product Governance:
• Validate that new banking products and marketing materials comply with local conduct of business rules.
• Complaint Resolution:
• Investigate client complaints related to compliance or professional conduct.
• Risk Assessments:
• Contribute to the

Rcsa (Risk And Control Self-Assessment)