aml compliance officer

Jio markets trading

We are looking for an experienced Compliance Officer with a strong background in the Forex / Financial Services industry to ensure regulatory compliance and support our growing operations.Key Responsibilities:<ul><li>Ensure compliance with UAE regulatory frameworks (SCA, DFSA, AML/CFT)</li></ul><ul><li>Monitor and implement internal compliance policies and procedures</li></ul><ul><li>Handle KYC, AML, and transaction monitoring processes</li></ul><ul><li>Liaise with regulators, auditors, and banks when required</li></ul><ul><li>Review marketing materials to ensure regulatory compliance</li></ul><ul><li>Conduct internal compliance audits and risk assessments</li></ul><ul><li>Maintain compliance records and reporting</li></ul>Requirements:<ul><li>Proven experience as a Compliance Officer in a Forex / Brokerage firm</li></ul><ul><li>Strong knowledge of AML, KYC, and regulatory reporting</li></ul><ul><li>Familiarity with UAE financial regulations (SCA / DFSA preferred)</li></ul><ul><li>Excellent attention to detail and analytical skills</li></ul><ul><li>Ability to work independently and manage compliance tasks end-to-end</li></ul>Preferred Qualifications:<ul><li>CAMS or other compliance-related certification</li></ul><ul><li>Experience with offshore and onshore brokerage structures</li></ul><ul><li>Prior interaction with regulators and banking partners</li></ul>Skills:<ul><li>Strong understanding of legal terminology and regulatory frameworks.</li><li>Excellent written and verbal communication skills.</li><li>Detail-oriented with strong analytical and problem-solving abilities.</li><li>Ability to work independently, prioritize tasks, and manage multiple projects.</li><li>Strong interpersonal skills and the ability to collaborate with cross-functional teams.</li><li>High level of integrity, professionalism, and discretion.</li></ul>Qualifications:Educational Background:<ul><li>Bachelor's degree in Business, Finance, Law, or a related field.</li><li>Additional certifications in AML and compliance, such as Certified Anti-Money Laundering Specialist (CAMS), are highly desirable.</li></ul>License/Certification:Certified Anti-Money Laundering Specialist (CAMS) (Preferred)Job Type: Full-time, PermanentPay: AED 5,000 to 7,000 per monthJob Types: Full-time, PermanentPay: AED5,000.00 - AED7,000.00 per month

Compliance Officer

Al Jaber Exchange

Job Title: Alternative Compliance Officer (ACO) Department: Compliance / AML Location: UAE Reporting To: Compliance Officer (CO)Job PurposeThe Alternative Compliance Officer (ACO) supports the Compliance Officer in managing and maintaining the organization&rsquo;s AML/CFT framework in line with UAE laws, Central Bank of the UAE (CBUAE) standards, and international best practices. The ACO ensures effective implementation of policies, transaction monitoring, reporting, training, and continuity of the compliance function, especially during the absence of the CO.Key ResponsibilitiesPolicy &amp; Program Support<ul><li>Support the CO in designing, implementing, and maintaining the AML/CFT compliance program in line with UAE laws, CBUAE standards, and international best practices.</li><li>Assist in establishing and maintaining AML/CFT policies, procedures, processes, and internal controls.</li><li>Ensure day-to-day business compliance with internal AML/CFT/PF policies.</li><li>Support in developing and updating the institution&rsquo;s AML/CFT/PF risk assessment.</li><li>Conduct gap analyses and propose corrective actions to align procedures with current laws, regulations, and standards.</li></ul>Transaction Monitoring &amp; Reporting Support<ul><li>Support ongoing monitoring of transactions to identify high-risk, unusual, or suspicious customers and activities.</li><li>Receive and review transaction alerts and provide analysis to the CO.</li><li>Assist in preparing Suspicious Transaction Reports (STRs)/SARs and other regulatory reports for submission by the CO.</li><li>Ensure transaction monitoring systems (TMS) are appropriate and functioning as designed.</li><li>Escalate critical or urgent compliance matters to the CO in a timely manner.</li></ul>Regulatory &amp; Documentation Support<ul><li>Act as the point of contact for AML/CFT matters during the absence of the CO.</li><li>Maintain supporting documentation for transactions, KYC, monitoring, STR/SAR reporting, and AML training.</li><li>Maintain trackers for CBUAE notices, regulatory updates, and TMS changes under CO supervision.</li><li>Support preparation of AML Management Reports, Monthly MIS, Compliance Committee materials, and Bi-Annual Compliance Reports.</li><li>Should be able to draft policy and other compliance related documents.</li></ul>Training &amp; Awareness<ul><li>Assist in developing and executing AML/CFT training programs for staff.</li><li>Support induction and refresher training, including updates on new CBUAE notices, guidance, and typologies.</li><li>Maintain training records and ensure staff awareness of regulatory changes.</li><li>Complete a minimum of 48 hours of external AML/CFT training annually as part of Continuous Professional Development (CPD).</li></ul>Continuity of Compliance Function<ul><li>Ensure seamless continuation of AML/CFT operations during the CO&rsquo;s absence, including monitoring, reporting, and governance activities.</li><li>Support execution of corrective actions recommended by the CO, internal audit, or regulators.</li><li>Assist in implementing changes to the TMS in coordination with the CO.</li></ul>Qualifications &amp; Experience<ul><li>Bachelor&rsquo;s degree in Finance, Accounting, Business, Law, or a related field.</li><li>Prior experience in AML/CFT, compliance, or risk management within financial services/exchange houses preferred.</li><li>Knowledge of UAE AML/CFT regulations and CBUAE guidelines.</li></ul>Skills &amp; Competencies<ul><li>Strong analytical and investigation skills.</li><li>High attention to detail and accuracy.</li><li>Good communication and reporting skills.</li><li>Ability to handle confidential information with integrity.</li><li>Strong organizational and time-management abilities.</li><li>Team-oriented with the ability to work independently.</li></ul>Job Type: Full-timePay: AED5,000.00 - AED7,000.00 per month

Alternative Compliance Offier

CDSL VENTURES

Job Description &ndash; Compliance Officer (KRA Operations, IFSC - GIFT City)Salary: Rs 12-15 lakhsLocation: Ahmedabad, GIFT CityPosition Title: Compliance Officer (Deputy Manager) &ndash; KRA Operations Location: GIFT City, Gandhinagar, Gujarat (IFSC) Department: Compliance &ndash; KYC Registration Agency Reports To: Senior Manager / Head of ComplianceRole Objective:To ensure day-to-day regulatory compliance and reporting under the IFSCA framework for KRA operations, while supporting the Principal Officer in meeting all legal and regulatory requirements.Key Responsibilities:<ul><li>Monitor KRA operations for ongoing compliance with applicable IFSCA regulations, AML/CFT guidelines, and data governance standards.</li><li>Review and update internal compliance manuals and SOPs in accordance with regulatory changes.</li><li>Assist in preparing regulatory submissions, inspection responses, and internal compliance reports.</li><li>Conduct periodic internal reviews, risk assessments, and compliance testing.</li><li>Act as the first line of compliance for operational teams &mdash; reviewing alerts, escalations, and KYC anomalies.</li><li>Support in coordinating regulatory audits and implement corrective action plans.</li><li>Provide regular training and updates to staff on regulatory changes and compliance best practices.</li><li>Maintain proper documentation and audit trails for compliance and KYC activities.</li><li>Liaise with the Principal Officer and legal counsel on regulatory interpretations.</li></ul>Required Qualifications &amp; Skills:<ul><li>Bachelor&rsquo;s or Master&rsquo;s degree in Law, Finance, or Compliance-related discipline.</li><li>Minimum 5&ndash;8 years of relevant experience in financial services compliance, preferably in KYC/AML functions.</li><li>Strong working knowledge of SEBI/IFSCA regulations, AML guidelines, and KRA processes.</li><li>Certification in AML/KYC or Compliance (e.g., CAMS) preferred.</li><li>Detail-oriented with good analytical and reporting skills.</li><li>Excellent interpersonal skills and the ability to liaise with regulators and internal stakeholders.</li></ul>Job Types: Full-time, PermanentPay: &#8377;1,200,000.00 - &#8377;1,500,000.00 per yearBenefits:<ul><li>Cell phone reimbursement</li><li>Health insurance</li><li>Internet reimbursement</li></ul>Education:<ul><li>Bachelor's (Required)</li></ul>Experience:<ul><li>Compliance : 5 years (Preferred)</li></ul>Work Location: In person

Compliance Officer - Gift City

RAKBANK

<div>
 
 At
 
 RAKBANK
 
 , we believe in fostering a culture of innovation, growth, and excellence. We are not just a bank &ndash; we are a community that thrives on teamwork, cutting-edge solutions, and the highest standards of governance.
 
 
 
 
 
 
 
 
 About the role
 
 
 
 The Compliance Officer is responsible for monitoring transactions and investigating potential breaches of sanctions and AML laws, ensuring adherence to local and international regulations. This role safeguards the bank&rsquo;s reputation and financial stability through rigorous due diligence, risk identification, and timely reporting of suspicious activities. You will report to Associate Vice President &ndash; Sanctions.
 
 
 
 
 
 
 What You&rsquo;ll Be Doing:
 
 
 <ul>
 <li>
 Monitor transactions and investigate potential breaches of sanctions and AML laws.
 </li>
 <li>
 Assess sanctions/AML alerts for possible violations, gathering necessary information from business units to validate risks.
 </li>
 <li>
 Conduct thorough investigations in line with Sanctions and AML Operating Procedures, considering risks related to sanctions circumvention, AML, dual-use goods, and proliferation financing.
 </li>
 <li>
 Provide guidance to business units, ensuring minimal customer friction while maintaining compliance standards.
 </li>
 <li>
 Escalate risk triggers promptly and ensure timely reporting of suspicious activities (STR, SAR, PNMR, CNMR, HRC/HRCA) via GoAML.
 </li>
 <li>
 Perform enhanced due diligence where required and safeguard correspondent banking relationships.
 </li>
 <li>
 Stay updated on global regulatory developments through active participation in training sessions.
 </li>
 </ul>
 
 
 
 
 
 What We&rsquo;re Looking For:
 
 
 <ul>
 <li>
 
 Education
 
 : University Degree or equivalent.
 </li>
 <li>
 Mandatory compliance certifications (e.g., ACAMS).
 </li>
 <li>
 
 Experience:
 
 Proven experience in sanctions and AML investigations within banking or financial services.
 </li>
 <li>
 Strong understanding of local and international regulatory frameworks.
 </li>
 <li>
 
 Industry:
 
 Financial services, banking compliance, and risk management.
 </li>
 </ul>
 
 
 
 
 
 What&rsquo;s In It For You:
 
 
 <ul>
 <li>
 Competitive, performance-linked compensation.
 </li>
 <li>
 Medical coverage for you and your family.
 </li>
 <li>
 Comprehensive life insurance.
 </li>
 <li>
 Inclusive and diverse workplace culture.
 </li>
 <li>
 Career development and fast-track growth opportunities.
 </li>
 <li>
 Mentorship from industry experts.
 </li>
 </ul>
 
 
 
 
 
 Skills:
 
 
 <ul>
 <li>
 Legal Expertise: In-depth knowledge of international sanctions and AML laws.
 </li>
 <li>
 Risk Assessment &amp; Mitigation: Strong analytical and critical thinking skills.
 </li>
 <li>
 Investigative Skills: Ability to identify red flags and conduct detailed investigations.
 </li>
 <li>
 Strategic Thinking: Adaptable to evolving regulatory landscapes.
 </li>
 <li>
 Cross-Functional Collaboration: Excellent communication and stakeholder management.
 </li>
 <li>
 Time Management: Self-motivated, organized, and effective in team environments.
 </li>
 </ul>
 
 
</div>

Compliance Officer - Sanctions

Bank of Burlington

Why Join The Business Bank?At The Business Bank, we truly are what we say; we're here for our customers, and we deliver the best service with the fastest, most thoughtful solutions.As a locally owned bank, our relationships run deep. You'll quickly get to know many of our clients by name - and our team is even closer.We show up for each other and our community. Whether it&rsquo;s attending local events together, celebrating monthly milestones, or sharing daily laughs in the office, our culture is one of connection, trust, and support.We keep things down to earth, and we take pride in creating a workplace where people feel comfortable, appreciated, and motivated to grow. If you&rsquo;re looking for a place where you can build real relationships, develop new skills, and enjoy showing up to work each day - you&rsquo;ll find it here.Job Summary The Bank Secrecy Act and Compliance Officer (BSACO) is responsible for developing, implementing and administering all aspects of the Bank Secrecy Act Compliance Program by performing various quality control reviews and monitoring in the area of Bank Secrecy Act (BSA), USA Patriot Act, Anti-Money Laundering (AML)/Countering the Financing of Terrorism (CFT), Office of Foreign Assets Control (OFAC), and Customer Identification Program (CIP) compliance. The BSACO is also responsible for development and administration of the Bank Community Reinvestment Act Compliance Program any other applicable Compliance Management programs. The BSACO is responsible for advising the Board of Directors, Senior Management and other applicable Bank personnel of emerging compliance issues and guidance related to mitigation controls for identified risks. The BSACO may also engage in efforts to establish and maintain relationships with community-based, charitable and non-profit organizations.Responsibilities<ul><li>Develops, implements, and administers all aspects of the Bank Secrecy Act Compliance Program by performing various quality control reviews and monitoring in the area of Bank Secrecy Act (BSA), USA Patriot Act, Anti-Money Laundering (AML)/Countering the Financing of Terrorism (CFT), Office of Foreign Assets Control (OFAC), and Customer Identification Program (CIP) compliance.</li><li>Develops, implements, and administers all aspects of the Bank&rsquo;s Compliance Management Program and performs duties as the Bank&rsquo;s Compliance Committee chairperson; makes recommendations to the Board of Directors and Senior Management of emerging compliance issues when appropriate; and consults and guides the Bank in the establishment of controls to mitigate risks; and submits annual reports to the Board of Directors detailing compliance issues.</li><li>Utilizes industry standards and applicable regulatory guidance sampling methods to ensure the Bank&rsquo;s compliance efforts are maintained on a daily basis.</li><li>Assists independent, state and federal regulator auditor inquiries.</li><li>Serves as liaison between Bank personnel and law enforcement authorities when responding to robberies or other crimes, administers security devices and settings at all Bank facilities; identifies, analyzes and controls existing and potential safety hazards; and provides security and safety training, support and guidance to all Bank personnel. Manages risk assessments regarding compliance program in conjunction with compliance consultant. Manages relationship with 3rd part consultants.</li><li>Develops, implements, and administers all aspects of the Community Reinvestment Act Compliance Program by establishing, participating, and maintaining relationships with community-based, charitable, and non-profit organizations; and writes CRA-related policies, procedures and processes, including the Bank&rsquo;s strategic plan.</li><li>Advises the CEO &amp; Audit Committee of bank personnel compliance issues and makes recommendations for controls to mitigate risks.</li><li>Creates and maintains an adequate and effective Enterprise Risk Management (ERM) program thus ensuring the Bank is in full compliance with all banking laws, rules, regulations, and internal policies, procedures and processes; and promotes risk and regulatory compliance by identifying, quantifying, reviewing, evaluating, and measuring risk to ensure that all risk categories are identified and managed in accordance with regulatory compliance and audit requirements, approved risk tolerance, risk appetite and strategic plans approved by the Risk Committee.</li><li>Reviews and writes BSA, AML/CFT, OFAC, and CIP related policies and procedures; makes recommendations to the Executive Management when and where appropriate; and is required to submit annual reports to the Board of Directors detailing Bank Secrecy Act or other compliance issues.</li><li>Maintains proficient knowledge of the rules and regulations, including but not limited to, the BSA, USA Patriot Act, OFAC, Community Reinvestment Act (CRA) and Home Mortgage Disclosure Act.</li><li>Performs daily review, monitoring and analysis of various reports, logs and transaction data to identify trends, unusual activity and monitor large currency activity; determines if transactions are suspicious in nature, such as kiting, significant changes in balances, cash structuring in deposits, loans payments and certificate of deposit purchases, wire or ACH transfers, monetary instrument sales, new account openings, etc.</li><li>Completes and files Suspicious Activity Reports (SARs) ensuring they are properly documented with related narrative and supporting documentation.</li><li>Provides maintenance, follow-up and timely response to the Bank&rsquo;s OFAC system and FinCEN 314(a) and (b) lists and inquiries and appropriately responds to positive hits detected by the Bank&rsquo;s AML or OFAC software system.</li><li>Identifies and mitigates potential risk issues against the Bank; assists in providing BSA, AML, OFAC and CIP compliance support; and interacts with Bank personnel pertaining to such issues.</li><li>Oversees actions of comprehensive self-testing, independent third-party and state and federal regulatory audits; makes necessary preparations for such audits or exams; coordinates responses to external auditors and regulatory examiners; and ensures deficiencies identified from such audits and examinations are corrected.</li><li>Reviews account opening reports for CIP compliance and accuracy; maintains database of missing information for follow up by branch personnel; and identifies, monitors and tracks high risk customers and accounts.</li><li>Reviews Currency Transaction Reports (CTRs) completed by branch personnel for accuracy and filing, including reviewing daily currency reports to ensure CTRs have been completed for all reportable transactions.</li><li>Ensures compliance with all applicable reporting and recordkeeping requirements and timely distribution of related materials and publications to designated personnel.</li><li>Conducts BSA, AML, OFAC and CIP training presentations and exercises with all Bank personnel, including material presented to employees during the new hire orientation process.</li><li>Responds to inquiries or refers inquiries to the appropriate department or person and exhibits the necessary follow through with customers and/or staff involved.</li><li>Provides supervision and support to all areas of the department where service or assistance is needed; oversees activities of assigned department personnel; and opens and closes the department.</li><li>Assumes responsibility for special projects, and gathers data and prepares reports for Executive Management, audits and other personnel.</li><li>Assures compliance with all Bank policies, procedures and processes, and all applicable state and federal banking laws, rules and regulations, and adheres to Bank Secrecy Act (BSA) responsibilities that are specific to the position.</li><li>Designs and administers annual training plans for all employees, specifically tailored to their roles and to satisfy regulatory requirements.</li><li>The position of Bank Secrecy Act and Compliance Officer performs duties specific to the position and other functions as assigned.</li></ul>Qualifications<ul><li>Bachelor&rsquo;s degree ; or 10 years of related experience and/or training; or the equivalent combination of education and experience. Work related experience should consist of an in-depth background in Bank Secrecy Act compliance and supervisory skills. Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry. Professional accreditation such as a Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), Certified Risk Professional (CRP), and Certified Anti-Money Laundering Specialist (CAMS) is preferred.</li><li>Advanced experience, knowledge and training in progressively responsible bank administration, management and supervisory activities.</li><li>Intermediate experience, knowledge and training in all operational and lending activities and terminology.</li><li>Advanced knowledge of related state and federal banking compliance regulations, Bank operational policies and procedures, and the Bank&rsquo;s products and services.</li><li>Proven ability to effectively train and instruct others in a formal classroom or one-on-one environment.</li><li>Ability to read, analyze and interpret general business periodicals, professional journals, and technical procedures.</li><li>Excellent organizational and time management skills, with the ability to provide leadership, supervision and training for employees using positive supervisory techniques to ensure maximum productivity; demonstrated ability in organization and delegation skills.</li><li>Exceptional verbal, written and interpersonal communication skills with the ability to apply common sense to carry out instructions and instruct others, train personnel, write reports, correspondence and procedures, speak clearly to customers and employees.</li><li>Thorough understanding of management procedures; ability to plan department or Bank activities (setting objectives, developing strategies, budgeting, and developing policies and procedures); initiative to organize various functions necessary to accomplish department or Bank activities; effectively staff (selecting, training and developing employees); directing employees towards the desired objectives (delegating, motivating, resolving problems); controlling the function (developing performance standards, measuring results, taking corrective action and rewarding employees as appropriate).</li><li>Ability to deal with complex problems involving multiple facets and variables in non-standardized situations.</li><li>Ability to work with no supervision while performing duties.</li></ul>Join us in safeguarding our organization&rsquo;s integrity while fostering an environment of continuous improvement! We value energetic professionals committed to upholding the highest standards of compliance and financial excellence.Benefits (effective on hire date)<ul><li>Medical, Vision, and Dental Insurance</li><li>Health Savings Account (HSA) with Employer Contribution</li><li>401(k) with Employer Match</li><li>Generous Paid Time Off (PTO) policy</li><li>Employer-paid Life Insurance, Short and Long-term Disability, and Accidental Death and Dismemberment</li><li>Option for additional Employee-paid Life Insurance</li></ul>Pay: $125,000.00 - $140,000.00 per yearBenefits:<ul><li>401(k)</li><li>401(k) matching</li><li>Dental insurance</li><li>Health insurance</li><li>Health savings account</li><li>Life insurance</li><li>Paid time off</li><li>Parental leave</li><li>Retirement plan</li><li>Vision insurance</li></ul>Work Location: Hybrid remote in South Burlington, VT 05403

SVP, BSA/Compliance Officer

Confidential Careers

<div>
 
 
 
 Job Title: Compliance Officer
 
 
 
 
 
 
 
 
 
 Description:
 
 
 
 
 We are seeking a highly motivated and experienced
 
 Compliance Officer
 
 to join our team.
 
 
 
 
 
 
 
 Responsibilities:
 
 
 
 <ul>
 <li>
 Ensure that all staff, including senior management, receive adequate training on applicable laws and regulatory requirements, particularly those related to consumer protection and Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT).
 </li>
 <li>
 Develop and implement compliance policies and procedures, including a Business Continuity and Disaster Recovery Plan (BCDR Plan) as mandated by the Technology and Information Rulebook.
 </li>
 <li>
 Evaluate emerging compliance issues and risks.
 </li>
 <li>
 Provide regular compliance activity and audit reports to the Board.
 </li>
 <li>
 Ensure appropriate corrective measures are taken to address deficiencies in the Compliance Management System (CMS) or instances of non-compliance with applicable laws or regulations.
 </li>
 <li>
 Assist in conducting regular assessment to identify effectiveness of compliance policies
 </li>
 <li>
 Follow-up on industry relevant laws and regulations
 </li>
 <li>
 Generate regular reports on Compliance activities and based on results recommend corrective measures if needed
 </li>
 <li>
 Assist in any regulatory subject visit or inspection in the organization and provide the needed documents
 </li>
 </ul>
 
 
 
 
 
 
 Requirements:
 
 
 
 <ul>
 <li>
 5+ years of previous experience in the compliance function in the UAE.
 </li>
 <li>
 Bachelor degree in Law, Business Administration or any other related field
 </li>
 <li>
 Experience in Element Risk
 </li>
 <li>
 Experience in KYT software (such as Chainalysis or Elliptic) is a plus
 </li>
 <li>
 Must be a full-time employee of the VASP.
 </li>
 <li>
 Must be a resident of the UAE
 </li>
 <li>
 Good knowledge in compliance best practices
 </li>
 <li>
 Good written and verbal communication skills
 </li>
 </ul>
</div>

Marriott International

We are seeking a detail-oriented and trustworthy Compliance &amp; Accounts Officer to manage AML/CFT compliance and accounting functions for our real estate brokerage company. The ideal candidate will ensure full regulatory compliance while maintaining accurate financial records and supporting management with financial and compliance reporting.Job Type: Full-timePay: AED3,000.00 - AED4,000.00 per monthWork Location: In person

AML COORDINATOR & ACCOUNTS ASSISTANT

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Compliance Officer

Alternative Compliance Offier

Compliance Officer - Gift City

Compliance Officer - Sanctions

SVP, BSA/Compliance Officer

Compliance Officer

AML COORDINATOR & ACCOUNTS ASSISTANT