regulatory compliance manager

Zenithaxon

Job Title: Regulatory Compliance ManagerOverview We are seeking an experienced and strategic Regulatory Compliance Manager to oversee compliance functions across our organization. This role requires deep expertise in both traditional finance and global cryptocurrency regulations. The successful candidate will manage regulatory relationships, lead examinations and audits, and drive effective risk management practices to ensure the company remains compliant in a rapidly evolving regulatory landscape.Key ResponsibilitiesRegulatory Examinations &amp; Audits<ul><li>Prepare and deliver comprehensive materials, responses, and presentations for regulatory reviews.</li><li>Coordinate team preparation for regulatory interviews and presentations.</li><li>Collect, validate, and organize data required for regulatory submissions.</li><li>Ensure timely and accurate submission of documentation to regulators.</li><li>Maintain detailed records of examinations, audits, inquiries, and follow-up actions.</li></ul>Risk Management &amp; Compliance Assessments<ul><li>Conduct in-depth compliance risk assessments by legal entity and subject matter.</li><li>Identify, evaluate, and mitigate risks across the organization&rsquo;s operations.</li><li>Design and implement effective risk management strategies and controls.</li></ul>Regulatory &amp; Stakeholder Engagement<ul><li>Act as the primary liaison with regulatory authorities and agencies.</li><li>Collaborate with internal teams and external stakeholders to align compliance objectives.</li><li>Prepare clear, comprehensive internal compliance reports for leadership.</li><li>Partner with Internal Audit teams to strengthen compliance programs and initiatives.</li></ul>Issue Management &amp; Tracking<ul><li>Maintain an organized calendar and system for monitoring compliance issues.</li><li>Provide regular reporting on issue status, resolution progress, and follow-ups.</li><li>Document and track ongoing regulatory matters requiring attention.</li><li>Support issue owners in meeting validation and remediation requirements.</li></ul>Qualifications<ul><li>Bachelor&rsquo;s degree required; advanced degree preferred.</li><li>5&ndash;7 years of progressive compliance experience, with increasing responsibility.</li><li>Strong knowledge of global regulatory frameworks in both traditional finance (TradFi) and cryptocurrency/digital assets.</li><li>Excellent analytical, organizational, and communication skills.</li><li>Proven ability to manage competing priorities and meet strict regulatory deadlines.</li><li>Demonstrated experience engaging with regulatory bodies and audit firms.</li></ul>Job Type: Full-timePay: $140,000.00 - $185,000.00 per yearBenefits:<ul><li>401(k)</li><li>Dental insurance</li><li>Employee discount</li><li>Health insurance</li><li>Paid parental leave</li><li>Paid time off</li><li>Parental leave</li><li>Retirement plan</li><li>Stock options</li><li>Vision insurance</li></ul>Work Location: In person

Regulatory Compliance Manager

Planet 13

<div>As a leading multistate operator and the top dispensary in Las Vegas, Planet 13 is at the forefront of the cannabis industry. We are committed to providing the highest quality recreational cannabis, exquisite extracts, and innovative infused products. Our competitive pricing and deep industry expertise are matched only by our dedication to compassionate service. Join us at Planet 13, where we not only set industry standards but also nurture careers with passion and expertise. Come grow with us and help shape the future of cannabis. 
 
Summary 
 
The Regulatory Compliance Manager will assist the corporation's legal department in managing and enforcing all compliance requirements and compliance management operations at the corporate level and at licensee&rsquo;s dispensary, production, and cultivation facilities. The Compliance Supervisor will help upgrade, develop, and implement the licensee&rsquo;s quality assurance policies and standard operating procedures. Some of the Compliance Supervisor&rsquo;s time will be spent carrying out routine tasks such as updating company files, initial drafting of legal documents, reviewing documents, and legal research projects. 
 
 
 
Essential Duties and Responsibilities include the following. Other duties may be assigned.<div><ul><li>
Understand the complexity of compliance requirements governing our businesses, including the following types of regulatory agencies: Cannabis regulatory agencies, OSHA, Fire Department(s), City/County Zoning and Planning Department(s), Business Licensing Departments, and more.</li><li>
Provide analysis and input of cannabis regulatory changes and public hearings to the Company.</li><li>
Attend regulatory inspections and audits.</li><li>
Travel to and from area facilities, reliable transportation needed.
</li><li>Assist with responses to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures.
</li><li>Assist with creation of and updates to regulatory compliance checklists.</li><li>
Complete regulatory compliance checks in conjunction with operations and management at each facility to include the requirements of all applicable regulatory agencies.</li><li>
Collaborate with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.
</li><li>Track cannabis agent cards and maintain accurate reporting to regulator.</li><li>
Advise and assist with SOP review and updates, as requested or necessary.
</li><li>Act as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated, and resolved.</li><li>
Assist with maintenance of corporate records, including resolutions, board of director changes, annual reports, etc.</li><li>
Assist with maintenance of legal records, including litigation, real property, insurance, and securities files etc.</li><li>
Manage and update executive regulatory filings.
</li><li>Manage and track state-level entity filings and renewals.
</li><li>Assist in the preparation of various transactional documents and corporate governance documents.</li><li>
Assist in the preparation of securities filings for the corporation and executives.</li><li>
Assist with projects related to corporate governance, subsidiaries, compliance, corporate finance and development, IP, and other legal matters.</li><li>
Research relevant statutes, rulings and regulations and prepare related summaries and memos to be used as a basis for answering requests for internal legal and compliance tickets and company policies.
</li><li>Liaise between the legal department and other internal departments, governmental agencies, and third-party businesses.</li><li>
Comply with all HR policies including confidentiality and non-disclosure.</li><li>
Assist with the implementation of company policies, standard operating procedures and performance standards.
</li><li>Contribute to team effort by accomplishing related tasks.</li><li>
Complies with all HR policies including confidentiality and non-disclosure</li><li>
Assist with the implementation of company policies, standard operating procedures, and performance standards.
</li><li>Maintain a clean and organized work environment.</li><li>
Daily compliance with company policies including but not limited to; state/local regulation compliance, security protocols, access protocols, dress code, and work schedules.</li></ul>
Supervisory Responsibilities
 
 
Manages 1 or more employees in the legal department, Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems. 
 
Competencies 
To perform the job successfully, an individual should demonstrate the following competencies: 
Continuous Learning - Seeks feedback to improve performance; pursues training and development opportunities; strives to continuously build knowledge and skills.
 
Job Knowledge - Competent in required job skills and knowledge; requires minimal supervision; displays understanding of how job relates to others; uses resources effectively. 
Use of Technology - Demonstrates required skills; adapts to new technologies. 
Communications - Expresses ideas and thoughts verbally; exhibits good listening and comprehension; selects and uses appropriate communication methods. 
Cooperation - Establishes and maintains effective relations; exhibits tact and consideration; offers assistance and support to co-workers; works cooperatively in group situations; works actively to resolve conflicts. 
Ethics - Treats people with respect; keeps commitments; inspires the trust of others; works with integrity and principles; upholds organizational values. 
Adaptability - Adapts to changes in the work environment; changes approach or method to best fit the situation; able to deal with frequent change, delays, or unexpected events. 
Attendance/Punctuality - Is consistently at work and on time; arrives at meetings and appointments on time. 
Dependability - Follows instructions, responds to management direction; takes responsibility for own actions; keeps commitments; commits to long/additional hours of work when necessary to reach goals.; completes tasks on time or notifies appropriate person with an alternate plan. 
Initiative - Volunteers readily; undertakes self-development activities; asks for and offers help when needed. 
Innovation - Meets challenges with resourcefulness. 
Judgment - Exhibits sound and accurate judgment; supports and explains reasoning for decisions; includes appropriate people in decision-making process. 
Planning/Organizing - Uses time efficiently. 
Quality - Demonstrates accuracy and thoroughness; looks for ways to improve and promote quality; applies feedback to improve performance; monitors own work to ensure quality. 
Quantity - Meets productivity standards; completes work in timely manner; strives to increase productivity. 
Safety and Security - Observes safety and security procedures; determines appropriate action beyond guidelines; reports potentially unsafe conditions; uses equipment and materials properly. 
</div>
Qualifications To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 
Education and/or Experience
 
Bachelor's degree from four-year college or university; or five or more years&rsquo; of regulatory compliance experience in a highly regulated industry; or equivalent combination of education and experience.
 
Language Skills
 
Ability to read, analyze, and interpret common scientific and technical journals, financial reports, and legal documents. Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community. Ability to effectively present information to top management, public groups, and/or boards of directors. 
Mathematical Skills
 
Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Ability to apply concepts of basic algebra and geometry. 
Reasoning Ability
 
Ability to define problems, collect data, establish facts, and draw valid conclusions. Ability to interpret an extensive variety of technical instructions in mathematical or diagram form and deal with several abstract and concrete variables. 
Computer Skills
 
To perform this job successfully, an individual should be proficient in Microsoft Office applications, including Outlook, Word, Excel, and PowerPoint and industry-specific analysis software. 
Certificates, Licenses, Registrations
 
Must be able to possess an agent card or other required registration in all jurisdictions in which the Company does business and be 21 years of age or older. 
 
Certificates, Licenses, Registrations 
Must be 21 years of age or older. 
NV State Agent Card Required. 
OSHA 10 Required (company
 
 
Physical Demands The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 
While performing the duties of this Job, the employee is regularly required to use hands to finger, handle, or feel and talk or hear. The employee is frequently required to stand; walk; sit; reach with hands and arms and stoop, kneel, crouch, or crawl. The employee is occasionally required to climb or balance and taste or smell. The employee must occasionally lift and/or move up to 50 pounds. Specific vision abilities required by this job include close vision, distance vision, peripheral vision, depth perception and ability to adjust focus. 
Work Environment The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 
While performing the duties of this Job, the employee is occasionally exposed to extreme heat. The noise level in the work environment is usually loud. 
All qualified applicants will receive consideration for employment without regard to race, religion, color, age, sex, national origin, gender identity, disability status or protected veteran status. The Company will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable federal, state and local laws.
Planet 13 would like to make its customers aware that certain individuals might try and approach them, call them, email them, text them, or reach out to them via social media, presenting themselves as our employees and/or affiliates to try and gain access to your personal information. This is a phishing scam. Planet 13 will never call a potential employee or customer for any form of payment in return for training material, ask for anyone&rsquo;s direct deposit information, and their banking login and password. Planet 13&rsquo;s Board Members, and Executives do not work as recruiters and do not communicate with potential employees directly via any form of communication nor do they engage in the offering of positions to potential employees. These claims and offers are fraudulent and we advise everyone to use discretion when handling these situations. If you feel as though you have been a target of this type of scam, please reach out to your local law enforcement. Thank you. 
#ENGHP 

k1DDb6zvYw</div>

Arab Bank

<div>
 <ul>
 <li>
 Responsible for ensuring compliance with regulations, identifying and documenting regulatory risks and assisting the businesses in developing controls.
 </li>
 <li>
 Ensuring compliance with applicable laws, rules, regulations, and guidelines
 </li>
 <li>
 Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.
 </li>
 <li>
 Guiding in a productive, professional way, the compliance team.
 </li>
 <li>
 Assist the Country Compliance Head in identifying the areas of required enhancement and that present a higher risk exposure for the Bank.
 </li>
 <li>
 Contribute to the development of the criteria and components of the compliance monitoring and testing initiatives and objectives based on international standards, leading practices and gaps noted during the ongoing reviews.
 </li>
 <li>
 Guide Compliance Officers towards the realization of the compliance objectives and monitor their achievements and alignment to the actions required by Country Compliance Head.
 </li>
 <li>
 Establish and determine the components of the compliance framework for undertaking reviews on a risk-based approach including a comprehensive Compliance Program.
 </li>
 <li>
 Provide guidance and Advice on compliance matters to the respective stakeholders at the bank as and when required (Customer, product or transaction basis).
 </li>
 <li>
 Responsible for the establishment of Compliance/ Internal Control Annual Plan, Training Plan, Compliance Monitoring Program to be reviewed and approved by Country Compliance Head.
 </li>
 <li>
 Set the components and enhance the Compliance Monitoring Program that ensures the bank compliance with all applicable laws, regulations governing operations and product / services offerings.
 </li>
 <li>
 Ensure that AML / KYC requirements are in line with the regulator&rsquo;s instructions, FATF recommendations and the international best practices.
 </li>
 </ul>
 
 
 
 
 
 
 Job Requirements:
 
 
 
 
 
 
 
 
 
 
 
 Education
 
 
 
 :
 
 
 
 Degree from a recognized university; advance/graduate degree preferred.
 
 
 
 
 
 
 
 Experience
 
 
 
 :
 
 
 
 5 years minimum Compliance experience with a leading Regional/ International institution
 
 
 
 
 
 
 
 Competencies:
 
 
 
 <ul>
 <li>
 Fluent in English and local language
 </li>
 <li>
 Strong analytical skills.
 </li>
 <li>
 Good presentation, communication, and interpersonal skills.
 </li>
 <li>
 Good understanding of Compliance practices and local regulations
 </li>
 </ul>
 
 
 
 
 
 
 
 
 What We Offer at Arab Bank
 
 
 
 
 
 
 At Arab Bank, we offer a purpose-driven and inclusive environment where innovation, continuous learning, and employee wellbeing are at the core. We are proud to welcome individuals of all generations, genders, and backgrounds, valuing the diverse perspectives that strengthen our culture and contribute to our success.
 
</div>

Confidential

<div>
 
 
 Position Overview
 
 
 
 Our holding company is a diversified conglomerate with a portfolio of subsidiaries across multiple industries. We are seeking a strategic and diligent Legal Governance and Regulatory Compliance Manager to serve as a cornerstone of our corporate integrity and risk management framework.
 
 
 This role is pivotal in developing, implementing, and overseeing the corporate governance and regulatory compliance programs across the entire group of companies. The successful candidate will act as a central hub of expertise, providing guidance and support to our subsidiaries to ensure they operate within legal boundaries and adhere to the highest standards of ethical conduct and corporate governance.
 
 
 
 
 
 
 
 
 
 Key Responsibilities:
 
 
 
 
 
 <ul>
 <li>
 Develop, implement, and maintain robust corporate governance policies, charters, and frameworks for the holding company and its subsidiaries.
 </li>
 <li>
 Advise the Board of Directors and subsidiary boards on corporate governance best practices, fiduciary duties, and regulatory responsibilities.
 </li>
 <li>
 Manage the schedule for board and committee meetings, prepare agendas, and ensure accurate minute-taking and follow-up on action items.
 </li>
 <li>
 Ensure compliance with relevant corporate laws and governance regulations in all jurisdictions of operation.
 </li>
 <li>
 Design and implement a group-wide compliance management system (CMS) to proactively identify, assess, monitor, and mitigate regulatory risks.
 </li>
 <li>
 Continuously monitor the regulatory landscape for new and amended laws, regulations, and standards that impact the group's diverse operations (e.g., anti-corruption, antitrust, data privacy, sector-specific regulations).
 </li>
 <li>
 Translate complex regulatory requirements into clear, actionable policies and procedures tailored for various subsidiaries.
 </li>
 <li>
 Conduct regular compliance audits and risk assessments across subsidiaries and report findings to senior management.
 </li>
 <li>
 Serve as the primary point of contact and subject-matter expert for subsidiary legal, compliance, and management teams.
 </li>
 <li>
 Facilitate group-wide training and awareness programs on governance, compliance, and ethics.
 </li>
 <li>
 Monitor and report on subsidiary adherence to group-wide policies, escalating critical issues to holding company leadership.
 </li>
 <li>
 Foster a unified culture of compliance and integrity throughout the organization.
 </li>
 <li>
 Develop and maintain key group-wide policies, including the Code of Conduct, Whistleblowing Policy, and Anti-Bribery and Corruption Policy.
 </li>
 <li>
 Manage the group&rsquo;s whistleblowing and reporting channels, ensuring all concerns are investigated appropriately and confidentially.
 </li>
 <li>
 Prepare and present regular reports to executive management and the board on the status of the governance and compliance program, key risks, and mitigation efforts.
 </li>
 </ul>
 
 
 
 
 
 
 
 
 Essential Qualifications:
 
 
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree in Law (LLB) from a recognized institution. A master&rsquo;s degree (LLM) in Commercial Law, Corporate Law, or a related field is a strong advantage.
 </li>
 <li>
 Professional certification in compliance (e.g., ICA International Diploma, CCEP) is highly desirable.
 </li>
 <li>
 Minimum of 8-10 years of progressive experience in corporate governance, legal, and compliance roles, with at least 3-5 years in a management or advisory capacity.
 </li>
 <li>
 Proven experience working within a holding company structure or a large multinational with multiple, distinct business units is essential.
 </li>
 <li>
 In-depth knowledge of corporate law, company regulations, and governance codes relevant to the operating regions.
 </li>
 <li>
 Demonstrable experience in developing and implementing corporate governance frameworks and compliance programs from the ground up.
 </li>
 <li>
 Strong risk assessment skills with the ability to design and execute effective monitoring and audit plans.
 </li>
 <li>
 Superior ability to influence and gain buy-in from subsidiary leadership and stakeholders without direct managerial authority. This is a non-negotiable skill for a holding company role.
 </li>
 <li>
 Flawless verbal and written communication skills, with the talent to distill complex legal concepts into clear, actionable guidance for non-lawyers.
 </li>
 <li>
 A collaborative and service-oriented mindset, acting as a trusted business partner and advisor to subsidiary teams.
 </li>
 <li>
 A proactive, hands-on approach to problem-solving and the ability to anticipate and mitigate risks before they materialize.
 </li>
 <li>
 The highest ethical standards and the discretion to handle sensitive and confidential information.
 </li>
 </ul>
 
 
 
 
 This role is strategically positioned at the holding company level to provide centralized expertise and ensure cohesive governance. It is critical for:
 
 
 
 
 <ul>
 <li>
 
 Establishing Consistency:
 
 Creating a unified standard for governance and compliance across all subsidiaries, ensuring each meets the holding company's benchmark for integrity and risk management.
 </li>
 <li>
 
 Providing Centralized Expertise:
 
 Acting as a dedicated center of excellence, providing specialized guidance that would be cost-prohibitive for individual subsidiaries to maintain independently.
 </li>
 <li>
 
 Enabling Effective Oversight:
 
 Giving the holding company&rsquo;s leadership and board clear visibility into the compliance health and governance practices of its investments.
 </li>
 <li>
 
 Driving Efficiency &amp; Knowledge Sharing:
 
 Capturing and disseminating best practices across the entire group, elevating the performance and compliance maturity of all portfolio companies.
 </li>
 <li>
 
 Ensuring Strategic Alignment:
 
 Guaranteeing that all subsidiaries' operations and strategic decisions are aligned with the core values, risk appetite, and legal obligations of the holding company.
 </li>
 </ul>
</div>

Legal Governance and Regulatory Compliance Manager

Staci Americas

<div>JOB TITLE:
Retail Compliance Manager
DEPT:
Operational Excellence
REPORTS TO:
Dir of Operational Excellence
FLSA Status, Class:
Exempt
BASIC SCOPE/PURPOSE
Summary: The Compliance Manager is responsible for overseeing and ensuring organizational compliance across three critical domains: Retail Compliance, Regulatory Compliance, and Hazardous Materials (Hazmat) Compliance. This role provides leadership, direction, and oversight to ensure that the company meets customer requirements, adheres to applicable regulations, and maintains safe, efficient, and compliant logistics operations.
The ideal candidate will have strong knowledge of retail vendor requirements, U.S. regulatory frameworks (OSHA, DOT, FDA, C-TPAT, etc.), and hazardous materials transportation standards (IATA, 49 CFR, IMDG).
JOB REQUIREMENTS:
Retail compliance:<ul><li>Lead compliance with major retailer routing guides, vendor manuals, and EDI standards (Walmart, Amazon, Target, etc.).</li><li>Develop and implement processes to minimize chargebacks and improve customer scorecard performance.</li><li>Partner with client services and operations to ensure labeling, packaging, and ASN accuracy.</li></ul>
Regulatory compliance:<ul><li>Maintain and enforce compliance with all relevant federal, state, and international regulations (OSHA, FDA, C-TPAT, ISO, etc.).</li><li>Manage audits and certification renewals.</li><li>Serve as liaison with external auditors, government agencies, and customers on compliance matters.</li><li>Oversee compliance reporting, documentation, and record retention.</li></ul>
Hazmat compliance:<ul><li>Manage the company&rsquo;s Hazmat program, ensuring compliance with IATA, 49 CFR, and IMDG requirements.</li><li>Oversee employee training, certification, and record-keeping related to hazardous materials.</li><li>Review and approve hazardous shipments, SDS/MSDS documentation, and carrier approvals.</li><li>Ensure proper handling, storage, and disposal procedures for dangerous goods.</li></ul>
Leadership &amp; Oversight:<ul><li>Develop, implement, and monitor compliance policies and SOPs.</li><li>Provide training and guidance to operations, transportation, and client services teams.</li><li>Track KPIs, report compliance performance, and escalate risks as needed.</li></ul>
Qualifications / Job Requirements:<ul><li>Bachelor&rsquo;s degree in Business, Supply Chain, Safety, or related field.</li><li>5&ndash;7 years of compliance experience in logistics, 3PL, retail distribution, or related industry.</li><li>Strong knowledge of hazardous materials regulations (IATA/49 CFR/IMDG).</li><li>Experience managing retail compliance programs (chargebacks, routing guides, vendor scorecards).</li><li>Familiarity with regulatory frameworks (OSHA, FDA, C-TPAT, ISO).</li><li>Excellent organizational, communication, and leadership skills.</li></ul>
Work Environment: While performing duties of this job, the work environment may vary from professional office and other vendor/client locations.
Travel: this position will require you to travel in the CONUS about 10% - 30% of the year.
Physical Demands: While performing the duties of this job, the employee is regularly required to talk or hear. The employee is frequently required to stand, walk, and sit.
EEO Policy: Staci Americas provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, Staci Americas complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.</div>

Retail Compliance Manager (Remote)

Daman Investments

<div>
 
 
 
 Job Overview/Purpose
 
 
 
 
 
 
 
 The Compliance Manager is responsible for ensuring that the organisation operates within the established legal and regulatory framework, particularly in alignment with the UAE Securities &amp; Commodities Authority (SCA) and other relevant international standards. This job focuses on implementing and monitoring compliance programs, policies, and procedures, conducting regular audits, and providing guidance to business units to mitigate risks. The Compliance Manager acts as a key advisor on regulatory issues and plays a vital role in fostering a culture of compliance, ethical practices, and corporate integrity across the business.
 
 
 
 
 
 
 
 Key Accountabilities &amp; Responsibilities
 
 
 
 
 
 
 
 
 Regulatory Compliance and Monitoring
 
 
 <ul>
 <li>
 Implement and maintain compliance frameworks, policies, and procedures to ensure adherence to UAE SCA and other applicable regulations.
 </li>
 <li>
 Conduct periodic compliance reviews and monitoring activities to identify gaps, risks, and areas for improvement.
 </li>
 <li>
 Ensure the organisation is up to date with changes in laws, regulations, and regulatory guidelines
 </li>
 <li>
 Support the Head of Compliance in preparing regulatory filings and reports to authorities.
 </li>
 </ul>
 
 
 
 
 
 Risk Assessment and Controls
 
 
 <ul>
 <li>
 Identify, assess, and document compliance risks across business operations.
 </li>
 <li>
 Recommend practical corrective actions and controls to mitigate identified risks.
 </li>
 <li>
 Support the design and execution of effective compliance controls within daily operations.
 </li>
 <li>
 Assist in trade surveillance and monitoring activities, flagging potential breaches.
 </li>
 </ul>
 
 
 
 
 
 Audit and Investigations
 
 
 <ul>
 <li>
 Conduct internal compliance audits and prepare reports on findings for management.
 </li>
 <li>
 Support investigations into potential compliance breaches, misconduct, or ethics violations.
 </li>
 <li>
 Maintain proper documentation of audit results, findings, and remedial actions.
 </li>
 </ul>
 
 
 
 
 
 Policy Development and Training
 
 
 <ul>
 <li>
 Draft, review, and update compliance policies and procedures, ensuring alignment with regulatory updates.
 </li>
 <li>
 Assist in the development and delivery of compliance training and awareness programs.
 </li>
 <li>
 Promote a strong compliance culture by guiding employees on regulatory requirements, ethical standards, and best practices.
 </li>
 </ul>
 
 
 
 
 
 Reporting and Communication
 
 
 <ul>
 <li>
 Prepare compliance reports and dashboards for the Head of Compliance and senior stakeholders.
 </li>
 <li>
 Communicate compliance issues, updates, and resolutions clearly and effectively to relevant teams.
 </li>
 <li>
 Support the Head of Compliance in liaising with regulators, external auditors, and consultants.
 </li>
 </ul>
 
 
 
 
 
 Collaboration and Support
 
 
 <ul>
 <li>
 Work closely with Finance, Legal, HR, and IT to ensure compliance is embedded in organisational processes.
 </li>
 <li>
 Provide day-to-day advisory support to business units on compliance-related queries and requirements.
 </li>
 <li>
 Encourage employees to embrace compliance responsibilities and ethical conduct.
 </li>
 </ul>
 
 
 
 
 
 General
 
 
 <ul>
 <li>
 Uphold company values throughout business practices and utilise sound judgment in decision making.
 </li>
 <li>
 Any other additional duties as may be required by management based on needs of the business.
 </li>
 </ul>
 
 
 
 
 
 
 Position Requirements
 
 
 
 
 
 
 
 
 
 Minimum Required Experience
 
 
 
 <ul>
 <li>
 Minimum of 7-10 years of years of experience in compliance, regulatory affairs, or a related field within financial services.
 </li>
 <li>
 Prior experience with regulatory bodies (e.g., SCA, FSA, MAS, HKMA) or working in a regulated Wealth or Asset Management environment is preferred.
 </li>
 <li>
 Exposure to compliance monitoring, trade surveillance, or risk management activities.
 </li>
 </ul>
 
 
 
 
 
 
 Minimum Required Qualification
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree in Law, Business, Finance, or a related field
 </li>
 <li>
 Master&rsquo;s degree preferred.
 </li>
 <li>
 UAE SCA accreditation (mandatory or to be obtained within a set timeframe).
 </li>
 <li>
 Professional certifications in compliance (e.g., CISI, ICA, CRCM, or equivalent) are advantageous.
 </li>
 </ul>
 
 
 
 
 
 
 Competencies
 
 
 
 <ul>
 <li>
 Strong knowledge of MENA regulatory frameworks (particularly UAE SCA), AML, KYC, and related compliance laws.
 </li>
 <li>
 Excellent analytical and problem-solving skills with strong attention to detail.
 </li>
 <li>
 Strong communication skills with the ability to explain compliance requirements clearly.
 </li>
 <li>
 Ability to conduct effective compliance monitoring and reporting.
 </li>
 <li>
 Good organisational skills with the ability to manage multiple priorities.
 </li>
 <li>
 Ethical, discreet, and able to handle sensitive information responsibly.
 </li>
 <li>
 Ability to work collaboratively across functions and influence colleagues to adopt best
 </li>
 </ul>
</div>

Compliance Manager

Vitateck Medical Equipment Trading LLC

We are seeking a detail-oriented and proactive Operations Manager to oversee and coordinate the company's regulatory compliance, human resources functions, and administrative operations. This multifaceted role requires a high level of organization, discretion, and the ability to manage multiple responsibilities across different departments.Key Responsibilities:1. Regulatory &amp; Compliance:&middot; Monitor and ensure compliance with relevant laws, regulations, and industry standards.&middot; Maintain up-to-date knowledge of regulatory requirements specific to the industry.&middot; Prepare and submit reports to regulatory bodies as required.&middot; Liaise with legal consultants or auditors during inspections or audits.&middot; Maintain company records, licenses, and certifications in compliance with regulations.2. Human Resources:&middot; Coordinate recruitment, onboarding, and offboarding processes.&middot; Maintain employee records, contracts, and HR documentation.&middot; Support employee engagement, training, and development initiatives.&middot; Ensure compliance with labor laws and internal HR policies.&middot; Manage payroll inputs and liaise with payroll providers or finance teams.&middot; Handle employee relations issues confidentially and professionally.3. Administrative Management:&middot; Oversee daily administrative operations, including office supplies, facilities, and vendor management.&middot; Develop and implement office policies and procedures.&middot; Schedule meetings, prepare agendas, and manage internal communications.&middot; Support budgeting and reporting tasks for operations-related expenses.&middot; Act as a point of contact between departments and upper management.Education &amp; Experience:&middot; Bachelor&rsquo;s degree in Business Administration, Human Resources, or a related field.&middot; 3&ndash;5 years of experience in operations, HR, or administrative roles.&middot; Experience with regulatory compliance (industry-specific knowledge is a plus).Skills &amp; Competencies:&middot; Strong understanding of HR practices and labor regulations.&middot; Knowledge of regulatory frameworks relevant to the organization.&middot; Excellent organizational and multitasking abilities.&middot; Strong interpersonal and communication skills.&middot; Proficient in MS Office and HR/administration software tools.&middot; Ability to handle confidential information with integrity.&middot; Problem-solving mindset and ability to work independently.Job Type: Full-time

Operations Manager

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