Job Description

Head of Compliance

Must Have Required in Profile:

1) Securities and Commodities Authority (SCA) Accredited. (Cleared exams like UAE Financial Rules and Regulations and Combating Financial Crime)

2) Preferably worked in Capital Markets Industry in UAE.

3) Well-versed with SCA, AML/CFT and FATCA/CRS laws and reporting.

4) Experience in Client onboarding, AML Compliance and regulatory inspections.

:

Serve as the principal liaison between the company and SCA, handling regulatory filings, updates, and correspondence. Design, implement company policies and manage a robust compliance framework in line with SCA regulations. Oversee client onboarding and KYC/AML processes, ensuring adherence to regulatory and internal standards. Monitor trading activity and internal operations to identify and address compliance risks. Prepare and submit periodic compliance reports to management and regulatory authorities like FIU and SCA Conduct internal compliance training and awareness programs. Lead internal audits and assist in external audits with a compliance perspective. Proactively track changes in the regulatory landscape and update internal policies accordingly. Ensure timely reporting of suspicious activities (STRs) and oversee regulatory inspections

Work Experience with trading industry will be highly appreciated.

Job Types: Full-time, Permanent

Education:

Bachelor's (Required)
Experience:

Capital Market Industry: 4 years (Required) Compliance Officer: 4 years (Required)
License/Certification:

* Regulatory Frameworks including SCA, FCA, SEC (Required)