Director Compliance
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Key skills for this role
About the Role
We are seeking a Director of Client Compliance to lead our regulatory compliance team in Dubai. The role involves structuring regulated financial services companies, assisting with authorization applications, and providing compliance support to licensed firms.
Key Skills for This Role
Responsibilities
- Lead the regulatory compliance team of IQ EQ UAE with supervisory responsibilities
- Assist in structuring regulated financial services companies and selection of appropriate license activities
- Assist in authorization applications in DIFC and ADGM financial free zones
- Provide compliance support to licensed firms including provision of officers for Compliance Officer, MLRO, Risk Officer, Data Protection Officer roles
- Provide ad hoc advisory and assistance to regulated firms such as compliance health checks and support during regulatory audits
- Support clients in data protection matters including policy, procedures, training, and breach reporting
Requirements
- Degree from reputable university, preferably in law, finance, or financial services
- Minimum 8 10 years experience in financial services sector
- Minimum 5 years experience in regulatory compliance
- Preferred 2 3 years senior level experience in consulting firms
- Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer
Full Job Posting
Company Description
- Leading Investor Services group offering end to end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide.
- Global workforce of 6,500+ people across 24 jurisdictions with assets under administration exceeding US$857 billion.
- Works with 13 of the world's top 15 private equity firms.
Job Description
- Structuring of regulated financial services companies (selection of appropriate license activities).
- Assistance in authorisation applications in DIFC and ADGM financial free zones, as well as with other regulators (UAE CB, CMA etc.).
- Compliance support of licensed firms in ADGM and DIFC, including provision of officers or deputies for Compliance Officer, Money Laundering Reporting Officer, Risk Officer, Data Protection Officer.
- Ad hoc advisory and assistance to regulated firms such as compliance health check, support during regulatory risk assessment/audit, license variation etc.
- Clients support in data protection matters (policy, procedures, training, answers on the registrar’s portal, handling a breach report etc.).
- Supervisory responsibilities for the Client Compliance Unit team, monitor daily tasks and coach them.
Qualifications
- A degree from reputable university, preferably in the field of law, finance or financial services or directly related to compliance functions.
- At minimum of 8 10 years’ experience in the financial services sector with the minimum of 5 years experience in regulatory compliance.
- Preferred experience at a senior level of at least 2 3 years in consulting firms.
- Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.
Additional Information
- Sustainability is integral to our strategy and operations.
- Commitment to fostering an inclusive, equitable and diverse culture.
- Learning and development programmes and systems (PowerU and MyCampus).
- Hybrid working approach supports balance and flexibility.
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