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risk and compliance manager

Nexus Insurance Brokers

<div><div>Compliance Manager

The Compliance Manager reports directly to the CEO, is part of controlled functions by the Central Bank of the UAE and has direct access to the Insurance Brokers Representatives. You will be responsible for ensuring the company&rsquo;s operations adhere to applicable laws, regulations, and industry standards in the UAE insurance sector. This role includes overseeing and managing regulatory reporting and fostering a culture of compliance within the organization. 


Key Accountabilities:

Regulatory Compliance:
<ul>
<li>Ensure compliance with UAE applicable laws and regulations and remain continuously informed of regulatory developments relevant to the Company&rsquo;s business operations and strategy</li>
<li>Advise senior management on the implications of applicable UAE laws and regulations</li>
<li>Ensure that all regulatory submissions, filings, and notifications are completed accurately and submitted within the deadlines set by the relevant regulatory authorities</li>
<li>Maintain complete and accurate documentation for all Nexus group entities and align with regulatory expectations</li>
<li>Identify and assess compliance risks across the Company&rsquo;s operations</li>
<li>Serve as the primary point of contact with regulatory authorities for audits, inspections, and correspondence</li>
<li>Conduct regular reviews and updates to policies, procedures, and internal controls to ensure compliance</li>
<li>Review and provide compliance oversight on external communications, marketing material, Terms of Business Agreements with insurance providers and other business partners to ensure regulatory compliance and contractual integrity</li>
<li>Oversee the complaints process to ensure that all issues are handled independently, fairly and promptly and in line with regulatory requirements</li>
<li>Support the Head of Risk in maintaining and updating the Nexus Risk Management Framework, including the Risk Manual and Risk Register.</li></ul> 


AML/CFT Compliance:
<ul>
<li>Oversee the Anti-Money Laundering(AML) and Combating the Financing of Terrorism (CFT) framework in line with UAE laws and regulations.</li>
</ul><ul><li>Perform client classification, suitability assessments and KYC procedures including customer due diligence(CDD) and enhanced due diligence (EDD) reviews, and ensure proper recordkeeping</li></ul> 


Monitoring and Testing:
<ul>
<li>Deliver and oversee compliance training for staff, to verify adherence to policies and regulatory requirements.ensuring awareness of legal obligations, internal policies, and ethical standards</li>
<li>Assist in conducting Gap Analysis for existing and upcoming regulations.</li>
<li>Maintain detailed records of compliance activities and prepare periodic reports for senior management.</li>
</ul>
Stakeholder Collaboration:
<ul>
<li>Liaise with internal stakeholders, including legal, finance, and operations teams, to ensure alignment on compliance matters.</li>
<li>Oversee Client Options &amp; Client Servicing Teams to provide excellent customer service, client retention in line with regulatory requirements.</li>
<li>Develop and implement strategy to improve customer satisfaction, loyalty, and retention.</li>
</ul><ul><li>Equip customer service teams with the tools they need to provide exceptional service.</li>
<li>Managing the overall performance of client options &amp; client servicing teams</li></ul> 


Skills Required:
<ul>
<li>English as a first language</li>
<li>Excellent communication, interpersonal, and problem-solving skills</li>
<li>Proven experience of managing a team</li>
<li>Proven ability to lead and motivate a team of customer service executives</li>
<li>Knowledge of the Authorities and Regulators regulating the insurance industry in the UAE such as the Central Bank, SCA, DFM, DFSA, DHA and DOH.</li>
<li>Knowledge of the regulations governing the insurance industry in UAE.</li></ul> 


Education, Experience and Formal/Professional Qualifications:
<ul>
<li>Industry qualification is a pre-requisite (CII and ICA / CAMS)</li>
<li>Bachelors Degree in Finance/Accounts/Law/Audit.</li>
<li>3-5 relevant compliance experience in a Financial Institution preferably in insurance.</li>
<li>Arabic is a plus</li></ul> 

</div>
<div><div><div><div>Job Categories: Office Admin
</div><div>Job Types: Full Time
</div><div>Job Locations: Dubai</div></div></div></div></div>

Compliance Manager

BRIDGEPORT INVESTMENT IN COMMERCIAL ENTERPRISES & MANAGEMENT LLC

We are seeking a highly skilled Compliance Manager to oversee and manage all compliance functions in alignment with CBUAE (Central Bank of UAE) regulations. The role requires a detail-oriented professional with strong knowledge of AML/CFT practices, insurance operations, and regulatory requirements. The ideal candidate will ensure compliance frameworks are robust, employees are well-trained, and all activities are conducted within UAE regulatory standards.Key Responsibilities<ul><li>Develop, implement, and maintain compliance policies and internal control frameworks aligned with CBUAE regulations.</li><li>Monitor regulatory updates and ensure timely adjustments to internal procedures.</li><li>Lead AML/KYC and CFT processes, including client onboarding, due diligence, transaction monitoring, and reporting.</li><li>Prepare and submit Suspicious Activity Reports (SARs) and other compliance reports to regulators.</li><li>Conduct periodic internal audits and risk assessments to evaluate compliance effectiveness.</li><li>Ensure timely and accurate regulatory filings, license renewals, and statutory submissions.</li><li>Act as the primary point of contact with regulators during inspections, audits, and inquiries.</li><li>Provide compliance training and awareness programs for all employees across departments.</li><li>Advise management on compliance implications of new products, services, and business strategies.</li><li>Investigate compliance breaches, document findings, and recommend corrective action.</li><li>Ensure strict adherence to data protection and confidentiality laws.</li><li>Maintain compliance risk registers and develop mitigation strategies.</li><li>Support internal/external auditors and regulatory inspections with required documentation.</li><li>Foster a strong compliance culture throughout the organization.</li></ul>Qualifications &amp; Skills<ul><li>Bachelor&rsquo;s Degree in Law, Finance, Business, or related field; AML certification preferred.</li><li>5&ndash;7 years&rsquo; proven experience in compliance, preferably within UAE financial services or insurance industry.</li><li>Strong knowledge of CBUAE guidelines, AML/CFT laws, and insurance operations.</li><li>Excellent analytical, problem-solving, and communication skills.</li><li>Detail-oriented with the ability to work under pressure and tight deadlines.</li><li>Strong stakeholder management and cross-functional coordination abilities.</li></ul>Job Type: Full-timePay: AED5,000.00 - AED10,000.00 per monthApplication Question(s):<ul><li>what was your last drawn/current salary?</li></ul>Experience:<ul><li>UAE compliance: 3 years (Required)</li><li>AML : 3 years (Required)</li></ul>Location:<ul><li>Dubai (Required)</li></ul>

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>

Stratum Owners Association Management

The Compliance Officer ensures that the organization operates in accordance with legal and regulatory requirements, internal policies, and industry standards. This role plays a key part in identifying potential compliance risks, implementing controls, and promoting a strong culture of compliance throughout the organization.Key Responsibilities:<ul><li>Monitor and interpret regulatory and legislative developments relevant to the organization&rsquo;s activities.</li><li>Develop, implement, and maintain internal policies and procedures to ensure compliance with laws and regulations.</li><li>Conduct regular audits and risk assessments to identify areas of non-compliance or operational risk.</li><li>Provide training and guidance to staff on compliance-related matters, including codes of conduct, data protection.</li><li>Investigate potential compliance violations and recommend appropriate corrective actions.</li><li>Prepare and submit regulatory reports and filings as required by governing bodies.</li><li>Liaise with regulatory authorities during audits, inspections, or investigations.</li><li>Maintain up-to-date records of compliance activities and incidents.</li><li>Support internal departments in embedding compliance into their daily operations.</li><li>Promote ethical behavior and a strong compliance culture across the organization.</li></ul>Qualifications and Skills:Essential:<ul><li>Bachelor's degree in Law, Business, Finance, or a related field.</li><li>Strong understanding of regulatory frameworks relevant to the industry.</li><li>Excellent attention to detail and analytical skills.</li><li>High level of integrity and ethical judgment.</li><li>Strong communication and interpersonal skills.</li><li>Ability to interpret complex legislation and translate it into practical advice.</li><li>Proficiency in Microsoft Office and compliance management software.</li></ul>Job Type: Full-time

Compliance Officer

Monarch Solicitors

We are seeking an experienced and detail-oriented Compliance Officer to join our growing law firm. The successful candidate will play a key role in ensuring that the firm operates in compliance with all applicable regulations, professional standards, and internal policies in both the United Kingdom and United Arab Emirates jurisdictions.This role requires a strong understanding of legal regulatory frameworks, including the SRA Standards and Regulations (UK), Law Society compliance requirements, AML/CFT obligations, and local UAE regulations, particularly those issued by the Ministry of Justice and relevant free zone authorities.Key Responsibilities<ul><li>Ensure ongoing compliance with SRA Standards and Regulations, Law Society guidance, and UAE legal practice regulations.</li><li>Monitor changes in relevant legislation and advise the firm on required policy updates or procedural changes.</li><li>Draft, review, and implement compliance policies and procedures across all offices.</li><li>Conduct risk assessments for clients, matters, and jurisdictions, including KYC/AML checks and enhanced due diligence where necessary.</li><li>Investigate and report suspicious activities in line with local and international AML laws.</li><li>Deliver compliance training to fee earners and support staff to ensure understanding of professional obligations and regulatory changes.</li><li>Provide guidance and support to teams on compliance best practices.</li><li>Maintain and oversee regular internal audits to ensure adherence to compliance controls and risk frameworks.</li><li>Prepare compliance reports for management and regulatory bodies as required.</li><li>Oversee GDPR compliance (UK) and applicable data protection regulations in the UAE.</li><li>Ensure secure handling of client data and manage data breach reporting processes.</li><li>Prepare reports for the Board/Managing Partners and assist during external audits or inspections.</li></ul>Key Skills &amp; Experience<ul><li>Proven experience in a compliance, risk, or regulatory role within a law firm or professional services environment.</li><li>Strong understanding of:</li><li>UK legal regulatory framework (SRA, Law Society, GDPR, AML regulations).</li><li>UAE regulatory environment for legal practice, including DIFC/ADGM frameworks (advantageous).</li><li>Excellent knowledge of AML/CTF best practices and risk management.</li><li>Exceptional attention to detail with strong analytical and problem-solving skills.</li><li>Strong communication and training skills.</li><li>Ability to work independently and manage priorities across multiple jurisdictions.</li></ul>What&rsquo;s in it for you:This opportunity is unrivalled by any other law firm:<ul><li>Small team in lovely city centre offices</li><li>Early access to good quality work and clients</li><li>Exposure to marketing and business development</li><li>Exposure to various legal disciplines &ndash;you won&rsquo;t be pigeon holed into one area of law!</li><li>You won&rsquo;t be competing with hundreds of others for progression within the firm</li><li>The more successful our small firm becomes, the more opportunities there will be for you</li><li>No glass ceilings - the role will become what you make it</li></ul>The Firm:Monarch Solicitors are an award winning commercial law firm.Our ethos is to provide a very personal approach in how we deal with each case and focus on results for the client.For more information about our firm please visit our website: www.monarchsolicitors.comApplications: Apply now with a CV and cover letter for an immediate interview.Salary: Dependent Upon ExperienceSTRICTLY NO AGENCIES &ndash; NO CALLS FROM AGENCIES WILL BE ACCPETED.Job Type: Full-time

Emirates Investment Bank pjsc

<div>
 
 
 Job Purpose:
 
 
 
 The Regulatory Compliance Manager will oversee Regulatory Compliance in accordance with UAE Central Bank and UAE Securities and Commodities Authority (SCA) regulations. The role involves ensuring adherence to a number of Regulations, including consumer protection, outsourcing, corporate governance, licensing, client classification, suitability, and capital adequacy requirements.
 
 
 
 
 
 The Compliance Manager will be responsible for monitoring regulatory developments, implementing compliance frameworks, conducting compliance reviews, and engaging with regulators.
 
 
 
 
 
 
 Key Accountabilities:
 
 
 
 
 1. UAE Central Bank Regulatory Compliance
 
 
 
 Consumer Protection Compliance:
 
 
 &bull; Ensure the firm complies with UAE Central Bank Consumer Protection Regulations.
 
 
 &bull; Oversee complaint-handling mechanisms and ensure fair treatment of customers.
 
 
 &bull; Conduct reviews of customer-facing policies, contracts, and disclosures to ensure compliance.
 
 
 
 
 
 Outsourcing Regulation Compliance:
 
 
 &bull; Ensure adherence to outsourcing regulations, including due diligence, contractual compliance, and risk assessment of service providers.
 
 
 &bull; Monitor the firm&rsquo;s outsourcing arrangements and ensure regulatory reporting requirements are met.
 
 
 
 
 
 Corporate Governance &amp; Employment Compliance:
 
 
 &bull; Oversee compliance with corporate governance requirements, ensuring board and management decisions align with regulatory expectations.
 
 
 &bull; Monitor adherence to employment regulations, including fit and proper requirements for senior management and staff.
 
 
 &bull; Conduct periodic training on corporate governance and compliance obligations.
 
 
 
 
 
 
 2. UAE Securities and Commodities Authority (SCA) Compliance
 
 
 
 Licensing &amp; Regulatory Approvals:
 
 
 &bull; Ensure the firm maintains valid SCA licenses and meets all regulatory obligations.
 
 
 &bull; Oversee licensing applications, renewals, and regulatory approvals for new business activities.
 
 
 &bull; Liaise with SCA on regulatory queries and ensure timely submission of required reports.
 
 
 
 
 
 Client Classification &amp; Suitability:
 
 
 &bull; Ensure compliance with client classification regulations, including high-net-worth individual (CB UAE) and professional/ordinary investor (SCA).
 
 
 &bull; Monitor adherence to suitability and appropriateness assessments for investment products and financial services.
 
 
 &bull; Conduct periodic internal audits and controls to verify compliance with client categorization rules.
 
 
 
 
 
 Capital Adequacy &amp; Financial Requirements:
 
 
 &bull; Oversee compliance with capital adequacy requirements (as a LOD2 in collaboration with the Risks Management Team which holds primary technical compliance responsibility.
 
</div>

Associate Director - Regulatory Compliance Manager

Al Khaleej Sugar Co

<div>
 
 
 Job Responsibilities:
 
 
 
 
 
 
 The Senior Manager &ndash; Risk &amp; Assurance supports the Director &ndash; Risk &amp; Assurance in managing assurance and enterprise risk across the organization. The role ensures that risks are identified, assessed, mitigated, and reported effectively while providing independent assurance over the adequacy of internal controls and governance.
 
 
 The position is also responsible for introducing continuous auditing through data analytics, leveraging SAP and AI-driven tools to enhance audit coverage, control effectiveness, and governance oversight. Additionally, the role will conduct risk management workshops to strengthen risk awareness and ownership across all levels of the organization.
 
 
 
 Risk Management
 
 
 <ul>
 <li>
 Lead implementation and enhancement of the Enterprise Risk Management (ERM) framework.
 </li>
 <li>
 Perform risk assessments and maintain strategic/operational risk registers.
 </li>
 <li>
 Establish and quantify the organization&rsquo;s risk appetite and risk maturity profile.
 </li>
 <li>
 Integrate risk management into the strategic management process.
 </li>
 <li>
 Facilitate development and monitoring of risk mitigation and action plans.
 </li>
 <li>
 Conduct risk management workshops to build awareness and improve identification of risks across the organization.
 </li>
 <li>
 Monitor emerging risks, industry trends, and regulatory developments.
 </li>
 </ul>
 
 
 Assurance
 
 
 <ul>
 <li>
 Develop and execute the annual risk-based assurance plan.
 </li>
 <li>
 Oversee financial, operational, compliance, and IT assurance assignments.
 </li>
 <li>
 Implement continuous auditing using analytics and other technology-enabled techniques.
 </li>
 <li>
 Leverage AI and predictive tools to detect anomalies, improve internal control effectiveness, and expand audit coverage.
 </li>
 <li>
 Review and validate adequacy of internal controls, recommending enhancements where necessary.
 </li>
 <li>
 Perform other assignments for special projects on ad hoc basis (Risk management / assurance / or any other related field) as and when necessary as per business requirements.
 </li>
 </ul>
 
 
 Governance &amp; Reporting
 
 
 <ul>
 <li>
 Support preparation of reports, dashboards, and presentations for the Managing Director and / or CEO.
 </li>
 <li>
 Ensure transparent and timely reporting of key risks, controls, and corrective actions to senior management.
 </li>
 <li>
 Strengthen governance and compliance frameworks using technology-enabled monitoring.
 </li>
 </ul>
 
 
 Leadership &amp; Stakeholder Engagement
 
 
 <ul>
 <li>
 Supervise, guide, and mentor assurance and risk professionals in the department.
 </li>
 <li>
 Promote a culture of accountability, integrity, and risk awareness across the company.
 </li>
 <li>
 Act as trusted advisor to senior management on risk, assurance, and governance matters.
 </li>
 <li>
 Build collaborative relationships with consultants, auditors, and regulators.
 </li>
 </ul>
 
 
 
 
 
 
 
 
 Qualification &amp; Experience:
 
 
 <ul>
 <li>
 Bachelor's Degree in Finance, Accounting, Business Management, Risk Management or related field
 </li>
 <li>
 CA/ACCA/CPA Certification
 </li>
 <li>
 12 - 16 years of relevant experience in management, assurance or risk management from consultant and manufacturing environment
 </li>
 <li>
 SAP user
 </li>
 </ul>
 
 
 
 
 
 Skills &amp; Competencies:
 
 
 <ul>
 <li>
 Communication and Stakeholder Management
 </li>
 <li>
 Analytical Thinking &amp; Decision-Making
 </li>
 <li>
 Governance &amp; Compliance
 </li>
 <li>
 Integrity, Objectivity and Professional judgment
 </li>
 <li>
 Risk Mitigation and Project Management
 </li>
 <li>
 Leadership and Team Management
 </li>
 <li>
 Business process analysis &amp; improvement
 </li>
 <li>
 Strong reporting, presentation, and documentation skills
 </li>
 <li>
 Time &amp; project management
 </li>
 <li>
 Problem-solving, interpersonal, and mentoring skills
 </li>
 </ul>
</div>

Senior Manager - Risk & Assurance

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