regulatory compliance officer

DBS Bank

Job Summary: The Cybersecurity Regulatory and Compliance Officer is responsible for ensuring the organization’s cybersecurity practices comply with applicable laws, regulations, frameworks, and internal policies. This role bridges the gap between cybersecurity operations and legal/regulatory obligations, ensuring the organization maintains a robust, compliant security posture in a rapidly evolving threat and regulatory landscape.Requirements* Monitor cybersecurity regulationsand frameworks (e.g., NIST, ISO 27001, DPDP, PCI-DSS, CIS controls) relevant to the organization’s operations and industry.* Translate regulatory cybersecurity requirements into actionable internal controls and risk mitigation strategies.* Collaborate with IT, security, audit, and business teams to develop and enforce cybersecurity policies and procedures.* Conduct regular assessments, audits, and gap analyses to ensure compliance with cybersecurity standards and best practices.* Support preparation and response for internal audits, external audits, assessments, and certification efforts (e.g., ISO 27001, PCI-DSS).* Track regulatory changes and provide timely updates to stakeholders, ensuring policies and controls remain current.* Manage cybersecurity risk registers and contribute to enterprise risk management initiatives.* Oversee cybersecurity incident reporting and ensure compliance with breach notification laws.* Prepare and submit cybersecurity-related regulatory filings, documentation, and reports.* Deliver internal training and awareness on cybersecurity compliance requirements and secure practices.Qualifications: * Bachelor’s degree in Cybersecurity, Information Technology, or a related field (Master’s preferred).* 7-10 years of experience in cybersecurity, regulatory compliance, risk management, or related field.* Strong understanding of regulations and compliance (e.g., RBI Cybersecurity Framework, SEBI CSCRF, NIST CSF, ISO/IEC 27001, PCI-DSS, etc.).* Relevant certifications preferred: * Compliance-focused: Certified Information Systems Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), Certified Information Privacy Professional (CIPP).* Cybersecurity-focused: Certified Information Systems Security Professional (CISSP), Certified Information Security Manager (CISM).* Experience supporting security and compliance audits and working with regulatory bodies or external assessors.* Strong analytical, organizational, and communication skills.Preferred Experience: * Hands-on experience working in regulated industries (e.g., NBFC and Bank ).* Experience in incident response planning and regulatory breach reporting.

Senior Associate, Cybersecurity Regulatory and Compliance Officer, Technology and Operations

HamdanGlobal

The Compliance Officer plays a key role in ensuring the company operates within the regulatory framework. This position is responsible for developing, implementing, and maintaining compliance programs, policies, and procedures, as well as providing expert guidance to management and staff. The role ensures all business activities align with applicable laws and regulations.Key Tasks:Develop and implement the regulatory strategy and framework.Prepare and implement an effective Compliance ProgramConduct Compliance Assessment Reviews and issue ReportsConduct Compliance Awareness Training,Qualifications:University degree in legal or financeCertificated Compliance OfficerCertificated TrainerCertified data analyticsNo of Position : oneJob Type: Full-timePay: QAR18,000.00 - QAR21,000.00 per month

Compliance Officer

GRIP Investments • DIFC • Horizon • Citadel

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

Junior Officer - Compliance

J&A Consulting LLC

[HYBRID]CHIEF COMPLIANCE OFFICER - MIDTOWN, NYC BANKING[Ability to communicate in Spanish - Written/Spoken]SALARY: 250K-275K+ (or higher based on experience)EXPERIENCE:<ul><li>Serving as Chief Compliance Officer for a FBO (Foreign Banking Organization) for at least 5 years</li><li>Correspondent / Corporate Banking</li><li>Policies &amp; Procedures</li><li>Sanctions</li><li>Regulator Experience (NYSDFS, Federal Reserve, etc.)</li></ul>Primary Responsibilities:<ul><li>The Chief Compliance Officer will be a member of the management team and will primarily be responsible for overseeing ensuring total compliance within the New York Branch of the organization and ensuring compliance with laws, regulatory regulations and requirements, and policies, and procedures.</li><li>The Chief Compliance Officer will be responsible for following, establishing, updating, and implementing compliance standards while defining procedures to ensure that the compliance programs and procedures are efficient and effective and that they identify, prevent, detect, and correct noncompliance with all applicable laws and regulations.</li><li>Develop compliance programs including that of BSA/AML/OFAC/FinCEN and update on an ongoing basis.</li><li>Convene the Policy Review Committee meetings for development, review and enhancement of all compliance related policies and procedures and perform and/or co-ordinate, as appropriate, the annual compliance review of New York Branch as well as the pertinent policies and procedures and ensure that such policies and procedures are always up to date. This is an ongoing responsibility and encompasses regulatory compliance in line with the Branch&rsquo;s line of business, changes in the Bank Secrecy Act (BSA), AML laws and other applicable compliance related regulations and requirements.</li><li>Review other policies and procedures of functional departments to ensure that they meet all requirements from the compliance perspective.</li><li>Establish and maintain a compliance communication process throughout the New York Branch and ensure that any changes in the US Banking Laws and Regulations are communicated to all Branch and Head Office Personnel in a timely manner.</li><li>Brief management on emerging examination and compliance issues, changes in the law, regulations, administrative rulings and Treasury, FRB and other applicable interpretations. Prepare and distribute monthly Regulatory Highlights. Provide advice on banking laws and regulations to business and logistics functions in assessing applicability to new and existing business needs.</li><li>Conduct Compliance related meetings as per branch policies and participate as member of Internal Control Review Committees of Branch.</li><li>Maintain daily regulatory tracking database.</li><li>Maintain regulatory contacts database.</li><li>Maintain a compliance library and other sources of information (e.g. Internet) relevant to laws and regulations affecting the Bank.</li><li>Function as liaison to U.S. regulatory agencies (Federal Deposit Insurance Corporation, New York State Department of Financial Services and Federal Reserve Bank of New York) during Branch examinations and coordinating meetings during visits of Banks Executives. Be the central point of contact for OFAC and FinCEN officials.</li><li>Coordinate bank regulatory examinations and internal audits. Ensure prompt response by taking corrective actions to detect deficiencies in examination / audit and reporting those to management and audit committee.</li><li>Oversee first day letter responses/coordinate exam response letters.</li><li>Oversee logistical needs of on-site examination teams.</li><li>Co-ordinate responses with the Chief Executive, US operations / Vice Presidents &amp; other staff members during Regulatory Examinations.</li><li>Organize / attend management/examiner meetings.</li></ul>Job Type: Full-timePay: From $275,000.00 per yearBenefits:<ul><li>401(k)</li><li>Dental insurance</li><li>Flexible schedule</li><li>Health insurance</li><li>Life insurance</li><li>Paid time off</li><li>Vision insurance</li></ul>Application Question(s):<ul><li>Do you have experience working with regulators such as the NYSDFS and Federal Reserve, coordinating with federal and state examiners and regulatory staff, and actively communicating and engaging with the FRB and SEC?</li><li>This position is offering up to $275,000+ (or higher depending on skills and experience) plus benefits 100% paid for by the bank including Medical, Vision, Dental, STD, LTD, Life Insurance, and discretionary bonuses.</li></ul>Is this within your salary requirements? If not, please advise - always open for negotiation!Experience:<ul><li>Correspondent/Corporate Banking: 8 years (Preferred)</li><li>Foreign Banking: 5 years (Preferred)</li><li>Senior Compliance Officer: 10 years (Required)</li></ul>Language:<ul><li>Spanish (Required)</li></ul>Ability to Commute:<ul><li>New York, NY 10169 (Required)</li></ul>Work Location: Hybrid remote in New York, NY 10169

Chief Compliance Officer - Hybrid

Avana Companies

<div>Mission: 
The Compliance Officer will ensure the financial transactions, business activities and general operations adhere to the principles of Shariah law, including compliance oversight, policy development, auditing and risk management, stakeholder communication and ethical advocacy.
<div>Core Competencies: 
<ul><li>Regulatory Knowledge &amp; Ethical Conduct</li><li>Risk Management &amp; Compliance</li><li>Auditing &amp; Monitoring</li><li>Communication &amp; Interpersonal Skills</li></ul></div>
<div>Key Performance Indicators: 
<ul><li>The % of the organization's assets that comply with Sharia principles, including investments, financing activities, and other financial instruments that align with Islamic finance guidelines.</li><li>The amount of time taken to obtain approval from authorities for new financial products, contracts, or business activities.</li><li>Drafting, implementing and training of business operations procedures for new staff within 60 days of onboarding.</li><li>The # of findings from compliance audits or assessments and the % time taken to remediate any issues identified.</li><li>The accuracy and timeliness of regulatory reports submitted by the organization.</li></ul></div>
<div>Responsibilities: 
<ul><li>Ensures that the organization complies with all relevant laws, regulations, and industry standards applicable to its operations including AML, KYC requirements</li><li>Acts as primary liaison between the organization and regulatory authorities, industry associations, and other external stakeholders.</li><li>Scrutinizes contracts, agreements, and business practices to ensure they are free from interest (riba), uncertainty (gharar), speculation (maisir), and unethical investments.</li><li>Develops and implements policies and procedures that align with Shariah principles and regulatory requirements. This will involve creating guidelines for permissible investments, ethical business practices, and customer interactions that adhere to Islamic finance principles.</li><li>Monitors the organization's activities to detect any violations of laws, regulations, or internal policies. Investigates potential breaches, documenting findings, and reporting them to senior management and regulatory authorities as required.</li><li>Provides training and educational sessions to employees to ensure they understand Shariah compliance requirements and their implications for business operations.</li><li>Audits and monitoring activities to assess the organization's compliance with Sharia principles. This involves reviewing financial records, conducting on-site inspections, and investigating any potential breaches of Sharia compliance.</li></ul></div>
<div>Qualifications: 
<ul><li>Bachelor's degree in Business, Finance, or a related field. Master's degree preferred.</li><li>Professional Certificate in Islamic Finance (PCIF) Certification</li><li>Proven experience in a similar leadership role, with a track record of successfully implementing technology strategies.</li><li>Strong technical compliance and lending knowledge and understanding of legal requirements, regulations and Sharia Lending practices</li><li>Excellent leadership and management skills, with the ability to motivate and inspire a team.</li><li>Strong business acumen and the ability to align technology initiatives with organizational goals.</li><li>Exceptional problem-solving and decision-making skills, with a strong attention to detail.</li><li>Excellent communication and interpersonal skills, with the ability to effectively collaborate and communicate with stakeholders at all levels.</li><li>Proven ability to manage multiple projects and priorities in a fast-paced, dynamic environment.</li><li>Strong strategic thinking and planning skills, with the ability to anticipate and mitigate potential risks and challenges.</li></ul></div>
Note: This job description is not intended to be all-inclusive. The Compliance Officer may be required to perform other related duties as requested by the management team.</div>

Compliance Officer (Riyadh)

Guardian Asset Management

<div>Guardian Asset Management
Job Title: Compliance Officer
Department: Operations
FLSA Status: Non-Exempt
Revision Date: 10/16/2025 

Position Summary:
The Compliance Officer position demands a thorough understanding of legal principles, superior organizational skills, and the ability to operate independently within a fast-paced, professional environment. Primary responsibilities include supporting the company&rsquo;s contract process, supporting regulatory compliance initiatives, and preparing legal responses to inquiries and requests. 

Essential Functions &amp; Responsibilities:
<ul><li>Review, redline, and support negotiation of commercial contracts, including NDAs, vendor agreements, and service contracts.</li>
<li>Manage contract versions, edits, and revisions across all parties with corporate coordination.</li>
<li>Track key contract milestones including deadlines, renewals, obligations, and deliverables.</li>
<li>Maintain organized and up-to-date legal files, databases, and corporate records.</li>
<li>Monitor company and affiliate compliance with applicable laws, regulations, licensing, and internal policies.</li>
<li>Develop, implement, and enhance compliance procedures, internal controls, and audit processes.</li>
<li>Research and resolve routine legal questions or issues, escalating as appropriate.</li>
<li>Prepare internal memos, summaries, and correspondence related to legal matters.</li>
<li>Coordinate with HR, Finance, Corporate Legal, &amp; Operations on cross-functional compliance and legal initiatives.</li>
<li>Serve as onsite representative for corporate transactions, external &amp; internal audits, and due diligence reviews.</li>
<li>Maintain timelines for regulatory &amp; state reporting, including FinCEN, escrow accounting, and related data calls.</li>
<li>Gather and analyze information for management decisions, regulatory filings, or industry research in title, preservation, and appraisal operations.</li>
<li>Address issues related to delayed recordings, file balances, stale checks, reconciliations, policy inventory, audit findings, and risk documentation.</li>
<li>Oversee policy inventory reconciliation and remittance reporting accuracy.</li>
<li>Conduct internal audits for clean desk compliance, IT access logs, communications, and system usage.</li>
<li>Review and update internal policies, procedures, and ALTA Best Practices documentation.</li>
<li>Examine company materials (e.g. publications and advertisements) for potential legal or regulatory implications.</li>
<li>Engage directly with consumers, borrowers, servicing clients, and law enforcement to resolve complaints or escalated matters.</li>
<li>Represent the company in court or local administrative proceedings as directed by corporate legal counsel.</li>
<li>Perform other duties and responsibilities as assigned.</li></ul></div>

Wood Mall

Position Title: Compliance Officer Qualification: Chartered Accountant (CA) Department: Compliance / Finance / Risk Location: Ernakulam Reporting To: CFORole OverviewThe Compliance Officer (CA-qualified) is responsible for ensuring that the organization adheres to all statutory, regulatory, and internal compliance requirements. This role involves monitoring financial regulations, implementing compliance frameworks, conducting audits, and mitigating risks to protect the company&rsquo;s legal and financial integrity.Key Responsibilities Regulatory &amp; Statutory Compliance<ul><li>Ensure adherence to all applicable laws, regulations, and industry standards (Company Law, Income Tax, GST, FEMA, RBI, etc.).</li><li>Monitor updates in regulatory requirements and communicate relevant changes to management.</li><li>Coordinate statutory filings and ensure timely submission to regulatory authorities.</li></ul>Internal Compliance &amp; Controls<ul><li>Develop, implement, and monitor internal policies, SOPs, and internal controls.</li><li>Conduct regular internal audits and compliance reviews.</li><li>Identify gaps or non-compliance issues and recommend corrective measures.</li></ul>Risk Management<ul><li>Evaluate financial and operational risks and support the development of risk-mitigation strategies.</li><li>Maintain risk registers and prepare risk assessment reports.</li></ul>Financial Compliance<ul><li>Ensure accuracy and compliance in accounting, financial reporting, and tax matters.</li><li>Work with finance teams to ensure compliance with accounting standards and audit requirements.</li></ul>Documentation &amp; Reporting<ul><li>Maintain compliance records, registers, and documentation as per regulatory standards.</li><li>Prepare monthly/quarterly compliance reports for management.</li><li>Support external audits and inspections.</li></ul>Training &amp; Advisory<ul><li>Provide compliance training to employees.</li><li>Advise management on compliance-related risks and best practices.</li></ul>Skills &amp; Competencies<ul><li>Strong knowledge of statutory and regulatory frameworks.</li><li>Excellent understanding of accounting, audit, tax, and financial laws.</li><li>Analytical and problem-solving skills.</li><li>Strong documentation and reporting abilities.</li></ul>Experience<ul><li>0&ndash;5+ years of experience in compliance, audit, finance, or risk (based on business needs).</li><li>Experience in regulatory reporting, statutory compliance, or internal audit preferred.</li></ul>Job Type: Full-timePay: &#8377;50,000.00 - &#8377;80,862.14 per monthBenefits:<ul><li>Paid sick time</li></ul>Work Location: In person

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