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regulatory compliance officer

GRIP Investments • DIFC • Horizon • Citadel

<div>
 <p>
  <strong>
   Junior Officer &ndash; Compliance
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Location:
  </strong>
  Dubai International Financial Centre (DIFC)
 </p>
 <p>
  <strong>
   Employment Type:
  </strong>
  Full-time, On-site
 </p>
 <p>
  <strong>
   About the Role:
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  GRIP is seeking a
  <strong>
   Junior Officer &ndash; Compliance
  </strong>
  to support the broader
  <strong>
   compliance and regulatory functions
  </strong>
  . This role is essential in maintaining
  <strong>
   operational efficiency, regulatory adherence, and robust compliance tracking
  </strong>
  across the firm.
 </p>
 <p>
  The successful candidate will report to the
  <strong>
   Senior Officer - Compliance &amp; Risk and General Counsel
  </strong>
  and play a key role in maintaining
  <strong>
   accurate records, regulatory filings, and compliance tracking systems
  </strong>
  .
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Key Responsibilities:
  </strong>
 </p>
 <ul>
  <li>
   <strong>
    Complete and manage all client onboarding documentation
   </strong>
   , including KYC, AML, and compliance-related forms, ensuring adherence to regulatory and internal standards.
  </li>
  <li>
   Analyse KYC and KYB documentation to validate and verify Source of Wealth and Journey to Wealth documents.
  </li>
  <li>
   <strong>
    Handle business onboarding processes
   </strong>
   , including submitting applications, preparing due diligence packs, and ensuring compliance with counterparty and financial partner requirements.
  </li>
  <li>
   <strong>
    Maintain and update compliance-related trackers
   </strong>
   , covering clients, investors, counterparties, and transactional records.
  </li>
  <li>
   Conduct
   <strong>
    preliminary due diligence checks, sanction screenings
   </strong>
   , and escalate findings as necessary.
  </li>
  <li>
   Ensure
   <strong>
    accurate and timely submission
   </strong>
   of forms and documentation to banks, financial institutions, and regulators.
  </li>
  <li>
   Work closely with the
   <strong>
    Senior Officer - Compliance &amp; Risk and General Counsel
   </strong>
   to monitor and update internal policies, compliance frameworks, and process documentation.
  </li>
  <li>
   Support regulatory filings, liaise with relevant authorities, and assist in audits and compliance reporting
  </li>
  <li>
   Update authority, government and international Portals.
  </li>
  <li>
   Keep records organised, ensuring documents are properly archived and easily accessible for review.
  </li>
 </ul>
 <p>
  <strong>
   Requirements:
  </strong>
 </p>
 <ul>
  <li>
   <strong>
    Bachelor&rsquo;s degree
   </strong>
   in finance, law, business, or a related field.
  </li>
  <li>
   <strong>
    Relevant compliance qualifications
   </strong>
   (e.g., ICA Certificate/Advanced Certificate, CISI Risk in Financial Services, or ACAMS) are an advantage.
  </li>
  <li>
   <strong>
    2 years of experience
   </strong>
   in a similar role, preferably in compliance within financial services.
  </li>
  <li>
   Strong
   <strong>
    form-filling and document management skills
   </strong>
   , with high attention to detail.
  </li>
  <li>
   Knowledge of
   <strong>
    AML, CTF, ABC, Sanctions
   </strong>
   , and financial regulations.
  </li>
  <li>
   Excellent
   <strong>
    research, communication, and organizational skills
   </strong>
   .
  </li>
  <li>
   Excellent Ms Word and PPT skills
  </li>
  <li>
   <strong>
    Fluent in English
   </strong>
   ; knowledge of
   <strong>
    French or Arabic
   </strong>
   is an advantage.
  </li>
  <li>
   Well-organised, proactive, and able to work under strict deadlines.
  </li>
  <li>
   <strong>
    Must be able to commute daily
   </strong>
   to the office in DIFC.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  If you are detail-oriented and looking to develop your career in compliance within a
  <strong>
   fast-paced, internationally connected financial environment
  </strong>
  , we look forward to hearing from you.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Please only communicate via this recruitment channel and refrain from contacting employees / directors of GRIP. All candidates who reach-out directly will be disqualified.
  </strong>
 </p>
</div>


Junior Officer - Compliance

Apex Group

<div><div>The Apex Group was established in Bermuda in 2003 and is now one of the world&rsquo;s largest fund administration and middle office solutions providers.</div><div></div><div>
Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.</div><div></div><div>
That&rsquo;s why, at Apex Group, we will do more than simply &lsquo;empower&rsquo; you. We will work to supercharge your unique skills and experience.</div><div></div><div>
Take the lead and we&rsquo;ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.</div><div></div><div>
For our business, for clients, and for you</div><div></div><div>
The Apex Group was established in Bermuda in 2003 and is now one of the world&rsquo;s largest fund administration and middle office solutions providers.</div><div></div><div>
Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.</div><div></div><div>
That&rsquo;s why, at Apex Group, we will do more than simply &lsquo;empower&rsquo; you. We will work to supercharge your unique skills and experience.</div><div></div><div>
Take the lead and we&rsquo;ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.</div><div></div><div>
For our business, for clients, and for you</div><div></div><div>
Compliance Officer and MLRO</div><div></div><div>
Role Location: Dubai</div><div>
Employment Type: Permanent</div><div>
Reporting line: Reports into the Regional Compliance Officer &ndash; Middle East</div><div></div><div>
Role and Responsibilities include:</div><div>
Setting, establishing and monitoring adherence to processes, policies and procedures to meet -compliance, legal and regulatory requirements.</div><div>
Responsibilities:</div><ul><li>
Overseeing licensing requirements and regulatory obligations while ensuring that compliance activity takes account of all relevant legislation and ADGM/FSRA/SCA related activities;</li><li>
Review of compliance and internal control operations and ensuring that they are in adherence with the firm&rsquo;s and Apex Group&rsquo;s Policies and Procedures;</li><li>
Ensuring the effective implementation of the Compliance Monitoring Programme and performing monitoring activities;</li><li>
Ensuring that non-compliant findings are tracked with the respective business function managers until resolved;</li><li>
Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on compliance related matters;</li><li>
Preparing and submitting compliance reports to management and various committees and governance structures within the Apex Group;</li><li>
Preparing and submitting reports to regulatory authorities;</li><li>
Keeping up-to-date with all relevant laws and regulations and communicating regulatory changes and developments to senior management and staff;</li><li>
Providing advice, and assistance where relevant, to senior management and staff on Apex Group compliance-related matters;</li><li>
Setting strategy for managing the relationship with the Regulator(s) and for all operational aspects of it, including visits and reporting;</li><li>
Handling communications with the Regulator(s), obtaining approvals as required, notifying the Regulator as required for all compliance-related matters;</li><li>
Maintaining a register of PEPs, High Risk clients and investors; complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;</li><li>
Providing assistance and support in satisfying staff training and development needs and plans to new regulations and legislation;</li><li>
Preparing training material and deliver training in compliance with regulatory obligations and business procedures;</li><li>
Oversight and management of the regulatory risks within the business;</li><li>
Acting as the firm&rsquo;s MLRO, establishing and maintaining the firm&rsquo;s Anti Money Laundering policies, procedures, systems and controls in compliance with the Regulatory Anti Money Laundering rules and all relevant legislation applicable in the jurisdiction and Group Apex Policies;</li><li>
Monitoring suspicious transactions, identify potential sanctions and submit reporting as required;</li><li>
Promoting a positive compliance culture through engagement with staff;</li><li>
Handling other ad-hoc compliance-related projects that may be assigned from time to time.</li><li>
Ensure that the firm adheres to data protection requirements, staff are informed about their obligations and responsibilities and raise awareness about them;</li><li>
Give advice and recommendations to the firm about the interpretation or application of the data protection rules;</li><li>
Monitor that a register of processing operations is maintained by the firm;</li></ul><div></div><div>
Skills Required:</div><ul><li>
Financial services experience of 5 to 7 years working within a financial environment, specifically Fund Administration experience.</li><li>
Understanding of the relevant regulations in UAE and International AML Laws.</li><li>
Relevant professional qualifications e.g. AML, CDD, Compliance, Risk, or equivalent.</li><li>
Experience in Customer Due Diligence (CDD/KYC) on various international corporate structures and risk profiles.</li><li>
Excellent communication and organisational skills.</li><li>
Experienced leader able to develop team members.</li><li>
Motivated and driven and a team player.</li><li>
Solutions driven critical thinking, with the ability to adapt to change.</li></ul><div></div><div>
What you will get in return:</div><ul><li>
A high level of visibility within a large organisation on an upwards trajectory</li><li>
The ability to define compliance processes to drive innovation and have a tangible impact on the business</li><li>
Be part of a dynamic and fast-paced team that makes a genuine impact on the business</li><li>
Exposure to all aspects of the business and cross-jurisdiction</li><li>
The opportunity to innovate, bring discipline to brand activity and really make a difference.</li></ul><div></div><div>
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.</div><div></div><div>
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.</div></div><div></div>

Compliance Officer and MLRO

Deluxe Holiday Homes

<div><p><b>Deluxe Holiday Homes</b> is one of the Middle East&rsquo;s largest vacation&#8209;rental and property&#8209;management operators. The Group manages 800 + holiday homes, runs real&#8209;estate brokerage, maintenance, interior design, warehousing, fleet, and wellness units, and employs 250 + staff in the UAE. Our values: Integrity, Empathy, Professionalism, Dedication, Transparency.</p><h4 class="jobSectionHeader"><b>
About the Role:</b></h4><p>
As the first dedicated Compliance Officer, you will safeguard the Group&rsquo;s licences, revenues, and reputation by ensuring that every landlord, guest, employee, and company document is complete, lawful, and stored correctly, and that all regulatory renewals are handled on time.</p><h4 class="jobSectionHeader"><b><br>
Key Responsibilities:</b></h4><ul><li><p>
Review all new Management Agreements to ensure inclusion of mandatory DTCM and RERA clauses.</p></li><li><p>
Verify title deed or POA, landlord identification documents, KYC forms, and IBAN letters before initiating the first landlord payout.</p></li><li><p>
Ensure commission and revenue-sharing terms align with approved company templates.</p></li><li><p>
Audit guest files in Guesty, including passport or Emirates ID, signed house rules, terms &amp; conditions, and security deposit receipts.</p></li><li><p>
Verify DTCM registration and municipality fee postings are completed for each check-in.</p></li><li><p>
Check employee onboarding documentation, including MOHRE contract, visa, Emirates ID, health insurance, NDAs, and social media policy acknowledgements.</p></li><li><p>
Ensure timely completion of offboarding requirements, including visa cancellations and end-of-service formalities.</p></li><li><p>
Validate internal compliance forms such as maintenance logs, refund approvals, guest relocation authorisations, and BD &ldquo;On Hold&rdquo; justifications for accuracy and required approvals.</p></li><li><p>
Escalate unresolved documentation or process gaps exceeding two business days to the respective Department Head and General Manager.</p></li><li><p>
Maintain a rolling 12-month compliance calendar for all company licences, permits, insurances, vehicle registrations, and civil defence certificates.</p></li><li><p>
Liaise with PROs and relevant government authorities (DED, DTCM, RERA, FTA, MOHRE) to ensure timely renewals and prevent lapses or fines.</p></li><li><p>
Monitor UAE legislation and regulatory updates, including RERA circulars, MOHRE reforms, PDPL, and FTA announcements; ensure SOPs are updated within 30 days of changes.</p></li><li><p>
Draft, update, and enforce compliance SOPs and quick-reference checklists across departments; conduct refresher training sessions where recurring deviations are found.</p></li><li><p>
Run compliance dashboards in Google Looker Studio using data from Guesty, HubSpot, HRMS, and Oracle ERP to identify and close documentation gaps.</p></li><li><p>
Issue a monthly Compliance Report summarizing key metrics, risks mitigated, pending violations, and fines avoided.</p></li><li><p>
Screen all landlords, guests, and counterparties against international sanctions (UN, OFAC, UAE Central Bank) and PEP databases; initiate Enhanced Due Diligence (EDD) and file Suspicious Transaction Reports (STRs) when needed.</p></li><li><p>
Maintain a comprehensive Compliance Register, tracking all licences, regulatory filings, STRs, audit trails, policy versions, and training logs.</p></li><li><p>
Act as the primary point of contact during external audits or surprise inspections by DTCM, RERA, MOHRE, FTA, or Civil Defence, ensuring timely access to all required documentation.</p></li></ul><h4 class="jobSectionHeader"><b>
WHAT WE OFFER</b></h4><ul><li><p>
Competitive salary with performance bonus</p></li><li><p>
Comprehensive medical insurance</p></li><li><p>
Professional development budget for compliance certifications or legal courses</p></li><li><p>
A dynamic, growth&#8209;oriented culture where you will build the compliance framework from the ground up</p></li></ul><p></p><ul><li><p><br>
Bachelor&rsquo;s degree in Law, Business Administration, or related field</p></li></ul><ul><li><p>
4 + years in compliance, legal coordination, or internal audit within UAE real&#8209;estate, hospitality, or property&#8209;management sectors</p></li><li><p>
Strong knowledge of UAE Commercial Law, RERA holiday&#8209;home regulations, DTCM standards, MOHRE Labour Law, and basic VAT/FTA requirements</p></li><li><p>
Working knowledge of CRM, HRMS, Google Workspace (Google Docs/ Google Sheets), MS Software.</p></li><li><p>
Fluent written and spoken English (Arabic is an advantage)<br>
<br>
Join Deluxe Holiday Homes and help us scale responsibly&mdash;protecting our landlords, guests, employees, and brand every single day.</p></li></ul></div><p></p>

Compliance Officer

ETRA Talent

<div>
 <p>
  <strong>
   Regulatory Compliance Manager
  </strong>
 </p>
 <p>
  <strong>
   Location:
  </strong>
  DIFC, Dubai
 </p>
 <p>
  <strong>
   Type:
  </strong>
  Full-time, On-site
 </p>
 <p>
  <strong>
   Reports to:
  </strong>
  Head of Compliance / MLRO
 </p>
 <p>
  <strong>
   Salary:
  </strong>
  25,000 - 30,000 AED Per Month.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   About The Role
  </strong>
 </p>
 <p>
  An established DIFC-based financial firm is seeking a Regulatory Compliance Manager to join its growing team.
 </p>
 <p>
  <br/>
 </p>
 <p>
  This role offers a broad remit across the Compliance function, supporting senior Compliance leadership in maintaining, enhancing, and embedding a robust Compliance Control Framework.
 </p>
 <p>
  The successful candidate will have strong technical regulatory knowledge within the retail/brokerage space (CFD, FX, or commodities).
 </p>
 <p>
  <br/>
 </p>
 <p>
  A background in Regulatory Compliance Advisory or Legal/Regulatory policy will be highly advantageous.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Key Responsibilities
  </strong>
 </p>
 <ul>
  <li>
   <strong>
    Marketing Compliance:
   </strong>
   Review and approve promotional materials; maintain marketing policies and deliver conduct training.
  </li>
  <li>
   <strong>
    Market Abuse &amp; Insider Dealing:
   </strong>
   Develop and execute MAR controls, contribute to risk assessments, generate MI, and support STOR investigations and filings.
  </li>
  <li>
   <strong>
    Complaint Handling:
   </strong>
   Maintain the complaints register, assist with investigations, and manage communication with complainants.
  </li>
  <li>
   <strong>
    Policies &amp; Framework:
   </strong>
   Update and maintain Compliance policies, SOPs, registers (PA Dealing, Gifts &amp; Entertainment, Breaches, STORs), and associated risk assessments.
  </li>
  <li>
   <strong>
    Training:
   </strong>
   Design and deliver Compliance induction and refresher training.
  </li>
  <li>
   <strong>
    Governance &amp; Reporting:
   </strong>
   Prepare Compliance MI and contribute to Committee governance.
  </li>
  <li>
   <strong>
    Advisory &amp; Projects:
   </strong>
   Provide Compliance input for new products, systems, or business initiatives, ensuring alignment with DFSA regulatory expectations.
  </li>
  <li>
   <strong>
    Cross-Departmental Support:
   </strong>
   Collaborate closely with Legal, Operations, Middle Office, and IT to deliver timely and accurate Compliance advice.
  </li>
  <li>
   <strong>
    Ad Hoc &amp; Strategic Projects:
   </strong>
   Support ongoing regulatory initiatives and compliance enhancements as directed by senior Compliance leadership.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Experience
  </strong>
 </p>
 <ul>
  <li>
   5-8 years&rsquo; experience in Regulatory Compliance or Compliance Advisory within a brokerage, trading, or investment firm.
  </li>
  <li>
   Strong understanding of DFSA rules, Conduct of Business (COB), and AML/CTF regulatory frameworks.
  </li>
  <li>
   Excellent knowledge of Market Abuse, Complaints, and Marketing Conduct controls.
  </li>
  <li>
   Proven experience developing and delivering Compliance Monitoring Programs (CMPs) and policies/SOPs.
  </li>
  <li>
   Background in Law, Finance, or related field (strong educational and legal foundations desirable).
  </li>
  <li>
   Strong communication, project management, and stakeholder engagement skills.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Why Join
  </strong>
 </p>
 <ul>
  <li>
   Work directly alongside senior Compliance professionals in a DFSA-regulated environment.
  </li>
  <li>
   Engage with high-impact regulatory projects across multiple business lines.
  </li>
  <li>
   Join a collaborative and ambitious team focused on setting new standards in regulatory excellence.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  If you have a passion for regulatory precision, brokerage experience, and a drive to shape best-in-class compliance culture, be sure to apply!
 </p>
</div>


Regulatory Compliance Manager

Banque Misr UAE

<div>
 <p>
  <strong>
   JOB SUMMERY:
  </strong>
 </p>
 <p>
  Responsible for ensuring that bank complies with regulatory requirements, internal policies, and group norms
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Duties and Responsibilities:
  </strong>
 </p>
 <p>
  -Providing the Compliance opinion to all Lines of business with regards to all compliance requirements to ensure adherence to relevant regulations.
 </p>
 <p>
  -Ensuring that bank maintains comprehensive compliance and internal control risk assessments program.
 </p>
 <p>
  -Assessing bank products and services risks from compliance perspective to ensure regulatory requirements are in place.
 </p>
 <p>
  -Monitor compliance with laws, regulations, and internal policies.
 </p>
 <p>
  -Reviewing communications and advertising to ensure there are no violations of group norms and/or related regulations.
 </p>
 <p>
  -Reviewing and/or modifying policies or operating guidelines to comply with changes to environmental standards or regulations.
 </p>
 <p>
  -Show awareness of the regulations, perform a regulatory watch and be able to implement the regulations.
 </p>
 <p>
  -Be aware of the regulatory environment and its different actors and keep up to date with regulations and their development.
 </p>
 <p>
  -Assist in preparing the related regulatory reports or presentation.
 </p>
 <p>
  -Assist in performing the gap analysis of regulatory commitments and required changes.
 </p>
 <p>
  -Drafts, implements, and updates Compliance standard requirements and procedures
 </p>
 <p>
  -Expresses compliance opinions for customers or transactions with varying profiles in terms of Regulatory risk.
 </p>
 <p>
  -Provides advice to the relevant management and recommends solutions.
 </p>
 <p>
  -Performs a regulatory watch and analysis, which also applies to internal and external standard requirements.
 </p>
 <p>
  -Drafts, implements, and updates Compliance standard requirements and procedures.
 </p>
 <p>
  -Raises awareness, informs, and trains employees; participates in the creation of training materials and dissemination of the compliance culture
 </p>
 <p>
  -Follow the day-to-day operations related to own jobs in the department and preparing requested reports to ensure continuity of work. Ensure being innovative, initiative and recommend new approaches related to own jobs.
 </p>
 <p>
  -Follow and implement all relevant department policies, processes, standard operating procedures and instructions so that work is carried out in a controlled and consistent manner
 </p>
 <p>
  -Comply with all relevant CBUAE regulations, banking laws, AML/CFT regulations and internal policies and code of conduct in order to maintain BMUAE sound legal position and mitigate any potential risks.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Job Competencies and Skills:
  </strong>
 </p>
 <ul>
  <li>
   Attention to details.
  </li>
  <li>
   Risk assessment capabilities.
  </li>
  <li>
   Ability to communicate effectively.
  </li>
  <li>
   Flexibility and ability to adapt to change.
  </li>
  <li>
   Analytical skills.
  </li>
  <li>
   Critical problem-solving ability.
  </li>
  <li>
   An ability to analyze and interpret information and take the proper decision
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Qualifications and Experience
  </strong>
 </p>
 <p>
  - Bachelor&rsquo;s degree in commerce, business administration or any related discipline
 </p>
 <p>
  - Min of 1-3 years of experience in the banking relevant sector
 </p>
 <p>
  - Excellent knowledge about banking operations and sanction regulations
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Must have UAE Residency
  </strong>
 </p>
</div>


Regulatory Officer

UAE General Civil Aviation Authority

<div><div>Regulatory Compliance &amp; Advice
<br>
<ul><li>Serve as a dedicated legal focal point for all aviation regulatory matters originating from the Aviation Safety Affairs, Aviation Security Affairs, and other technical sectors.
</li><li>Provide expert legal advice and opinions to the Director General, Director - Legal Affairs, and senior management on the interpretation and application of Federal Aviation Law, international treaties, and applicable civil aviation regulations.
</li><li>Conduct continuous legal research and analysis on emerging legislative and regulatory issues (domestic and international) and prepare concise reports detailing their potential impact on GCAA's operations and policies.
</li><li>Proactively identify legal risks related to regulatory changes and non-compliance, proposing actionable mitigation strategies to the management team.<br>
</li></ul></div><p></p><div>Legislation, Policies &amp; Agreements
<br>
<ul><li>Collaborate directly with the technical sectors (Safety, Security, etc.) to draft, review, and finalize legal content for new or revised GCAA regulations, policies, and administrative decrees, ensuring strict adherence to Federal Aviation Law.
</li><li>Review existing corporate policies and procedures to guarantee ongoing compliance with federal laws (e.g., HR, Finance, Procurement) from a regulatory impact perspective.
</li></ul></div><div>Provide legal input into Non-Commercial Agreements, Memorandums of Understanding (MOUs), and Binding Agreements with other states or entities, focusing on regulatory interpretation and legal integrity (excluding Air Services Agreements (ASAs)).
<br>
<ul><li>Assist in the preparation of documentation and legal provisions necessary for the ratification and national implementation of international air law instruments and conventions adopted by the UAE.</li></ul></div></div>

Senior Specialist - Regulatory Legal Services

Nestani Advisory Limited

<div>
 <p>
  <strong>
   Overview
  </strong>
 </p>
 <p>
  &nbsp;
 </p>
 <p>
  Our client, on whose behalf we are posting, is a leading wealth and asset management firm in the Dubai International Financial Centre, regulated by the DFSA under a Cat-3C license, and founded by a group of veteran bankers from the local ecosystem. Our client has mandated us to interview
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Role Purpose
  </strong>
 </p>
 <p>
  The Head of Compliance will lead the compliance and financial crime framework across the business. The role holder will be responsible for the DFSA licensed functions of Compliance Officer and Money Laundering Reporting Officer. This includes advising the Board and the Senior Executive Officer, and acting as the primary liaison with the DFSA and the UAE Financial Intelligence Unit.
 </p>
 <p>
  <br/>
 </p>
 <p>
 </p>
 <p>
  <strong>
   Key Responsibilities
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Regulatory Governance and DFSA Liaison
  </strong>
 </p>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <ul>
  <li>
   Serve as the DFSA approved Compliance Officer and MLRO, ensuring compliance arrangements and residency requirements in line with DFSA rules.
  </li>
  <li>
   Maintain and execute the Compliance Framework and annual Compliance Monitoring Plan, reporting findings and remedial actions to the Board and the Senior Executive Officer.
  </li>
  <li>
   Manage regulatory authorisations, notifications, and DFSA inspections, ensuring the Regulatory Business
  </li>
  <li>
   Plan and policies remain current and effective.
  </li>
 </ul>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <p>
  <strong>
   Anti-Money Laundering, Counter-Terrorist Financing and Sanctions
  </strong>
 </p>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <ul>
  <li>
   Maintain the Business-Wide Risk Assessment and oversee KYC, CDD, EDD, sanctions screening, and transaction monitoring.
  </li>
  <li>
   Operate the goAML platform and ensure timely filing of Suspicious Transaction and Suspicious Activity Reports with the UAE Financial Intelligence Unit, and immediately notify the DFSA after each filing.
  </li>
  <li>
   Submit the Annual AML Return and ensure timely remediation of any findings.
  </li>
 </ul>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <p>
  <strong>
   Conduct of Business and Client Outcomes
  </strong>
 </p>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <ul>
  <li>
   Ensure strict adherence to DFSA Conduct of Business rules, including client classification, suitability and appropriateness assessments, disclosure requirements, conflicts of interest management, inducements, best execution, complaints handling and financial promotions.
  </li>
  <li>
   Monitor that all marketing materials and communications remain targeted solely at Professional Clients and Market Counterparties, in line with Wealthbrix disclosures.
  </li>
  <li>
   Private Wealth: Supervise advisory and discretionary portfolio management, trade execution and third- party product distribution, and monitoring systems and controls for each business line.
  </li>
  <li>
   Asset Management: Oversee discretionary mandates, structured products, multi-asset strategies and real estate advisory, ensuring controls appropriate for a Category 3C firm.
  </li>
  <li>
   Corporate Finance: Monitor debt, equity and M&amp;A advisory activities, including insider list maintenance, market abuse controls, conflicts management and promotion standards.
  </li>
 </ul>
 <p>
  &nbsp;
 </p>
 <p>
  <strong>
   Regulatory Reporting, Record-Keeping and Data Protection
  </strong>
 </p>
 <p>
  &nbsp;
 </p>
 <ul>
  <li>
   Submit all DFSA regulatory returns and notifications accurately and on time.
  </li>
  <li>
   Oversee FATCA and CRS registrations and filings through the UAE Ministry of Finance portal.
  </li>
  <li>
   Ensure compliance with DIFCData Protection Law and alignment with Wealthbrix privacy policies.
  </li>
 </ul>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <p>
  <strong>
   Monitoring, Testing and Training
  </strong>
 </p>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <ul>
  <li>
   Conduct risk-based file reviews and thematic monitoring across onboarding, suitability, trading, sanctions and third-party product governance.
  </li>
  <li>
   Deliver and track firm-widecompliance and AML training, updating content after regulatory developments.
  </li>
  <li>
   Manage internal and externalaudits, ensuring timely closure of findings.
  </li>
 </ul>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <p>
  <strong>
   Outsourcing and Third-Party Risk
  </strong>
 </p>
 <p>
  <strong>
   &nbsp;
  </strong>
 </p>
 <ul>
  <li>
   Oversee outsourced serviceproviders, custodians and brokers, ensuring comprehensive due diligence, contractual protections andongoing monitoring.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Key benefits
  </strong>
 </p>
 <ul>
  <li>
   Competitive compensation structure
  </li>
  <li>
   Excellent professional working environment
  </li>
  <li>
   Work with a world-class team in a quickly growing business
  </li>
  <li>
   Competitive holiday allowance, insurance, parking &amp; more
  </li>
 </ul>
</div>


Compliance Officer / MLRO

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