Senior Compliance Officer
Abu Dhabi, United Arab Emirates
Job Description
b'
Senior Compliance Officer
Location
Abu Dhabi
Abu Dhabi
Contract Type
Permanent
Permanent
Posted
Posted 14 hours ago
Posted 14 hours ago
Start Date
ASAP
ASAP
Industry
Asset Management, Banking (In-house), Financial Services (In-house), Private Equity/Venture Capital
Asset Management, Banking (In-house), Financial Services (In-house), Private Equity/Venture Capital
Salary
Bonus
Bonus
Expiry Date
2023-10-06
2023-10-06
We have a current opportunity for a Senior Compliance Officer on a permanent basis. The position will be based in London. For further information about this position please apply. The key responsibilities will include:
- Contributing to the preparation of the annual Compliance Training Plan.
- Preparing and updating training presentations.
- Preparing revisions to policies in conjunction with the other members of the Compliance team as required.
- Keeping abreast of regulatory developments and enforcement actions by regulators in the firms main investment jurisdictions and preparing ad hoc updates to management and to impacted departments.
- Completion and implementation of the Annual Compliance Plan:
- Contributing to the preparation of the annual Compliance Risk Assessment and Compliance Monitoring Plan.
- Attending Due Diligence Committee meetings and providing feedback for new investments in line with the investment and DDC process consisting of at least Guideline Checklist reviews, Background checks, regulatory and reputational risk assessment.
- Timely response to KYC and AML requests from counterparties.
- Implementing actions assigned to Compliance by internal committees or resulting from internal / external audits.
- Preparing reports for the Investment Operations Committee and recommending appropriate action with respect to investment guideline compliance.
- Completing/overseeing monitoring activities as set out in the compliance monitoring programme.
- Timely preparation of routine and ad hoc regulatory filings.
- Providing guidance, as necessary, in connection with the receipt of material non-public information and updating restricted stock lists in a timely manner.
- Performing conduct monitoring activities and reporting.
- Contribute to the development of Compliance best practices and the enhancement of the Compliance processes.
- Participating in the development of technology solutions to enhance the effectiveness of the Compliance function.
- Ability to effectively deputise for the Head of Compliance as necessary.
- University Degree Preferred
- Professional qualification (or part qualified), such as Chartered Accountant, CPA (or other recognized professional financial qualification), Chartered Financial Analyst, LLB (or equivalent), Reputable Compliance Masters Experience Essential
- Minimum of 8 years audit/ compliance / legal/ finance experience Preferable
- Familiar with UAE regulatory framework
- Compliance related certifications or regulatory training, such as CISI
- Experience of working for an investment manager
- Knowledge of modern compliance techniques and systems.
- Good knowledge of investment products and structures.
- Good analytical and problem-solving capabilities.
- Good interpersonal and presentation skills.
- Good communication skills in English.
- Self-starter, able to execute independently.
Taylor Root will use the personal information you provide to contact you with relevant content including our salary surveys and market reports, career advice, hiring advice, market insights and industry updates and events. Our Privacy Policy sets out full details of how Taylor Root may use your data. You may unsubscribe from these communications at any time, by clicking on the link at the bottom of any email.
RELATED JOBS
View all jobs
- Banking (In-house)
Derivatives Legal Counsel, Dubai, 5+
This top tier bank is looking to appoint a derivatives lawyer to its legal team in Dubai. In this role you will join a collegiate legal team and advise on a broad range of work including advising on OTC derivatives, FX, repos, stock lending, repacks, EMTN updates, structures notes, securitisation and Islamic finance. You will [\xe2\x80\xa6]
- POSTEDPosted 3 days ago
- Banking (In-house)
Legal Counsel, Banking
Legal Counsel, Banking, Dubai CLIENT: This is an extremely rare opportunity to join a leading bank, as a Legal Counsel working across a wide variety of sectors. They have ambitious growth plans for 2023 onwards and the time is right for them to expand their legal capability with a new hire into their Dubai office. [\xe2\x80\xa6]- POSTEDPosted 1 month ago
- Financial Services (In-house)
Emirati Lawyers, Multiple Clients
Emirati Lawyer, Leading Entity, Dubai CLIENT: We are currently working with a wide variety of government, public and private companies to assist them in finding a lawyer with Emirati nationality to join their legal team. ROLE: You will join impressive legal departments and roles are intended to be one that offers the candidates strong career [\xe2\x80\xa6]- POSTEDPosted 1 month ago
Beware of fraud agents! do not pay money to get a job
MNCJobsGulf.com will not be responsible for any payment made to a third-party. All Terms of Use are applicable.
Related Jobs
Job Detail
-
Job IdJD1575774
-
IndustryNot mentioned
-
Total Positions1
-
Job Type:Full Time
-
Salary:Not mentioned
-
Employment StatusPermanent
-
Job LocationAbu Dhabi, United Arab Emirates
-
EducationNot mentioned