Compliance Officer

What will you be doing?
• Provide support and guidance to staff on regulatory, policy and procedural issues and application
• Handling of Trading Compliance alerts while working with the Risk department
• Design and implementation of the compliance monitoring plan , performing monitoring, surveillance and subsequent reviews
• Analysis and review of marketing materials and financial promotions
• Identify, log and resolve compliance issues, client complaints and policy and regulatory breaches
• Review and update Compliance policies and procedures in line with regulatory changes
• Provide the SEO, Board and Group Senior Management with compliance management information, ensure their full awareness of all salient matters and to advise on regulatory implications of future business strategies
• Stay up to date with regulatory developments both locally and internationally - focused on FSRA s policy updates, guidance from the Central Bank of the UAE, and international best practices
• Develop and maintain a positive and constructive relationship with the Regulators and promptly respond to any request for information made by the FSRA or any other competent authorities of the UAE
• Provide compliance training to staff
Requirements

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Get Hired

• 5-6 years of relevant experience
• Have a proven track record of working in financial services ACAMS, ICA or similar diploma preferred
• Experienced in building working relationships with Regulators, with direct experience working with FSRA regulated firms an advantage
• Able to advise Group colleagues on complex regulatory issues
• Experienced in successfully managing multiple projects at the same time
• Able to work to short timelines in a fast-paced environment