compliance officer

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associate, investigations, diligence and compliance - specialist Jobs in Dubai

associate, investigations, diligence and compliance - specialist

client care senior associate Jobs in Dubai

client care senior associate

lead senior legal counsel

senior compliance analyst

<div>
 
 Who We Are
 
 
 
 At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles:
 
 We Before Me
 
 ,
 
 Do the Right Thing
 
 , and
 
 Get Things Done
 
 . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more.
 
 
 
 About The Opportunity
 
 
 
 Join OKX at the forefront of innovation in the cryptocurrency space as a Compliance Manager, a pivotal role where you&rsquo;ll help shape and strengthen our global compliance framework. This opportunity is ideal for someone passionate about building clarity and structure within regulatory operations, particularly in Know Your Customer (KYC) and Know Your Business (KYB) processes. You will take the lead in mapping, refining, and operationalizing these critical processes to ensure seamless integration across the business. Beyond foundational KYC/KYB responsibilities, you will also contribute to safeguarding the platform by supporting the ongoing implementation and maintenance of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) controls. Working closely with cross-functional teams, this role offers the chance to influence internal standards, engage with regulatory developments, and contribute to global best practices in crypto compliance. You will also have the chance to influence industry standards through collaboration with regulatory industry groups. Engaging with cutting-edge technology, this role allows for continuous learning and adaptation in a fast-paced environment.
 
 
 
 What You&rsquo;ll Be Doing
 
 
 
 <ul>
 <li>
 Policy Development : Maintain compliance policies and procedures that align with industry best practices and regulatory requirements.
 </li>
 <li>
 Risk Assessment: Conduct regular risk assessments and assurance reviews to identify potential compliance risks and recommend corrective actions.
 </li>
 <li>
 Reporting and Documentation: Prepare and submit compliance reports to senior management, ensuring timely and accurate documentation of compliance activities.
 </li>
 <li>
 Collaboration: Work closely with various departments, including legal, finance, and operations, to ensure a cohesive approach to compliance and risk management.
 </li>
 <li>
 Incident Management: Investigate compliance incidents or breaches, manage the response process, and implement corrective measures to prevent future occurrences.
 </li>
 <li>
 Monitoring and Enforcement: Establish monitoring mechanisms to ensure ongoing compliance with policies and regulations, and assist Head of Compliance to take necessary enforcement actions.
 </li>
 <li>
 Training and Education: Provide training and resources to employees on compliance matters, fostering a culture of awareness and ethical behavior.
 </li>
 <li>
 Oversee QA review processes, ensuring casework is accurate, complete, and aligned with internal standards, regulatory requirements, and AML best practices.
 </li>
 <li>
 Analyze data to identify process gaps and opportunities, and partner with Compliance Leaders.
 
 
 
 </li>
 </ul>
 
 Requirements
 
 
 
 <ul>
 <li>
 5+ years of experience in compliance, AML/CTF, or regulatory roles within financial services, fintech, or virtual asset businesses, with a strong focus on KYC/KYB program ownership.
 </li>
 <li>
 In-depth understanding of UAE regulatory requirements, particularly the Virtual Assets Regulatory Authority (VARA) framework and broader UAE AML laws and Cabinet Decision No. (10) of 2019.
 </li>
 <li>
 Proven experience in mapping, documenting, and enhancing onboarding processes (KYC/KYB) for both individual and corporate clients in a regulated environment.
 </li>
 <li>
 Strong working knowledge of international AML/CTF standards (e.g., FATF), and their application in the context of virtual assets and VASPs (Virtual Asset Service Providers).
 </li>
 <li>
 Experience working with cross-functional teams including Legal, Product, Operations, and Engineering to embed compliance into scalable business processes.
 </li>
 <li>
 Ability to design and implement risk-based due diligence procedures, including customer risk rating models, enhanced due diligence (EDD), and ongoing monitoring.
 </li>
 <li>
 Prior involvement in regulatory engagements, inspections, or audits, ideally with VARA, the UAE Central Bank, or other local regulatory bodies.
 </li>
 <li>
 Strong analytical and problem-solving skills; comfortable handling complex regulatory interpretations and operationalizing them into clear procedures.
 </li>
 <li>
 Excellent communication skills (written and verbal) with the ability to engage confidently with internal stakeholders, regulators, and partners.
 </li>
 <li>
 Professional certifications such as CAMS, ICA, CRCMP, or equivalent are strongly preferred.
 
 
 
 </li>
 </ul>
 
 Perks &amp; Benefits
 
 
 
 <ul>
 <li>
 Competitive total compensation package
 </li>
 <li>
 L&amp;D programs and Education subsidy for employees' growth and development
 </li>
 <li>
 Various team building programs and company events
 </li>
 <li>
 Comprehensive healthcare schemes for employees and dependants
 </li>
 <li>
 More that we love to tell you along the process!
 
 
 
 </li>
 </ul>
 Notice
 
 
 :
 
 
 All official OKX vacancies are posted on this site. We are not affiliated with other third-party job boards except Linkedin.com, listings on other sites may be inaccurate or outdated. This is the only source of truth for applications.
 
 
 Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
 
 
</div>

Senior Compliance Analyst, Dubai

<div>
 
 Who We Are
 
 
 
 At OKX, we believe that the future will be reshaped by crypto, and ultimately contribute to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto markets. We are safe and reliable, backed by our Proof of Reserves. Across our multiple offices globally, we are united by our core principles:
 
 We Before Me
 
 ,
 
 Do the Right Thing
 
 , and
 
 Get Things Done
 
 . These shared values drive our culture, shape our processes, and foster a friendly, rewarding, and diverse environment for every OK-er. OKX is part of OKG, a group that brings the value of Blockchain to users around the world, through our leading products OKX, OKX Wallet, OKLink and more.
 
 
 
 About The Opportunity
 
 
 
 Join OKX at the forefront of innovation in the cryptocurrency space as a Compliance Manager, a pivotal role where you&rsquo;ll help shape and strengthen our global compliance framework. This opportunity is ideal for someone passionate about building clarity and structure within regulatory operations, particularly in Know Your Customer (KYC) and Know Your Business (KYB) processes. You will take the lead in mapping, refining, and operationalizing these critical processes to ensure seamless integration across the business. Beyond foundational KYC/KYB responsibilities, you will also contribute to safeguarding the platform by supporting the ongoing implementation and maintenance of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) controls. Working closely with cross-functional teams, this role offers the chance to influence internal standards, engage with regulatory developments, and contribute to global best practices in crypto compliance. You will also have the chance to influence industry standards through collaboration with regulatory industry groups. Engaging with cutting-edge technology, this role allows for continuous learning and adaptation in a fast-paced environment.
 
 
 
 What You&rsquo;ll Be Doing
 
 
 
 <ul>
 <li>
 Policy Development : Maintain compliance policies and procedures that align with industry best practices and regulatory requirements.
 </li>
 <li>
 Risk Assessment: Conduct regular risk assessments and assurance reviews to identify potential compliance risks and recommend corrective actions.
 </li>
 <li>
 Business Risk Assessments: Participate in periodic and quarterly business-wide risk assessments, contributing compliance input on products, customers, geographies, and delivery channels, and helping to document and track mitigating actions.
 </li>
 <li>
 Reporting and Documentation: Prepare and submit compliance reports to senior management, ensuring timely and accurate documentation of compliance activities.
 </li>
 <li>
 Collaboration: Work closely with various departments, including legal, finance, and operations, to ensure a cohesive approach to compliance and risk management.
 </li>
 <li>
 Incident Management: Investigate compliance incidents or breaches, manage the response process, and implement corrective measures to prevent future occurrences.
 </li>
 <li>
 Monitoring and Enforcement: Establish monitoring mechanisms to ensure ongoing compliance with policies and regulations, and assist Head of Compliance to take necessary enforcement actions.
 </li>
 <li>
 Training and Education: Provide training and resources to employees on compliance matters, fostering a culture of awareness and ethical behavior.
 </li>
 <li>
 Oversee QA review processes, ensuring casework is accurate, complete, and aligned with internal standards, regulatory requirements, and AML best practices.
 </li>
 <li>
 Analyze data to identify process gaps and opportunities, and partner with Compliance Leaders.
 </li>
 <li>
 Support regulatory compliance activities, including maintaining up-to-date understanding of applicable regulations, assisting with regulatory change implementation, and supporting regulatory reporting, inspections, and inquiries as needed.
 
 
 
 </li>
 </ul>
 
 Requirements
 
 
 
 <ul>
 <li>
 5+ years of experience in compliance, AML/CTF, or regulatory roles within financial services, fintech, or virtual asset businesses, with a strong focus on KYC/KYB program ownership.
 </li>
 <li>
 In-depth understanding of UAE regulatory requirements, particularly the Virtual Assets Regulatory Authority (VARA) framework and broader UAE AML laws and Cabinet Decision No. (10) of 2019.
 </li>
 <li>
 Proven experience in mapping, documenting, and enhancing onboarding processes (KYC/KYB) for both individual and corporate clients in a regulated environment.
 </li>
 <li>
 Strong working knowledge of international AML/CTF standards (e.g., FATF), and their application in the context of virtual assets and VASPs (Virtual Asset Service Providers).
 </li>
 <li>
 Experience working with cross-functional teams including Legal, Product, Operations, and Engineering to embed compliance into scalable business processes.
 </li>
 <li>
 Ability to design and implement risk-based due diligence procedures, including customer risk rating models, enhanced due diligence (EDD), and ongoing monitoring.
 </li>
 <li>
 Demonstrated participation in business-wide or enterprise risk assessments, preferably including quarterly risk assessment exercises, with the ability to translate assessment outcomes into practical controls and action plans.
 </li>
 <li>
 Proven regulatory compliance experience, including supporting regulatory reporting, responding to regulatory requests, and contributing to regulatory inspections, thematic reviews, or remediation projects.
 </li>
 <li>
 Prior involvement in regulatory engagements, inspections, or audits, ideally with VARA, the UAE Central Bank, or other local regulatory bodies.
 </li>
 <li>
 Strong analytical and problem-solving skills; comfortable handling complex regulatory interpretations and operationalizing them into clear procedures.
 </li>
 <li>
 Excellent communication skills (written and verbal) with the ability to engage confidently with internal stakeholders, regulators, and partners.
 </li>
 <li>
 Professional certifications such as CAMS, ICA, CRCMP, or equivalent are strongly preferred.
 
 
 
 </li>
 </ul>
 
 Perks &amp; Benefits
 
 
 
 <ul>
 <li>
 Competitive total compensation package
 </li>
 <li>
 L&amp;D programs and Education subsidy for employees' growth and development
 </li>
 <li>
 Various team building programs and company events
 </li>
 <li>
 Comprehensive healthcare schemes for employees and dependants
 </li>
 <li>
 More that we love to tell you along the process!
 
 
 
 </li>
 </ul>
 Notice
 
 
 :
 
 
 All official OKX vacancies are posted on this site. We are not affiliated with other third-party job boards except Linkedin.com, listings on other sites may be inaccurate or outdated. This is the only source of truth for applications.
 
 
 Information collected and processed as part of the recruitment process of any job application you choose to submit is subject to OKX's Candidate Privacy Notice.
 
 
</div>

Deriv

<div>
 As a Compliance Analyst specialising in AML and Crypto Risk at Deriv, you'll safeguard our business and clients against financial crime by expertly navigating the intricate challenges of cryptocurrencies and blockchain transactions. Your analytical expertise will not only secure our operations but also reinforce the integrity of global financial and crypto markets. By leveraging advanced, AI-enhanced tools, you'll heighten our capacity to assess and manage crypto-related risks with unmatched precision and efficiency, creating a tangible and lasting impact on our organisation.
 
 
 AI is being embedded into our company DNA, across every department. For further information, please read our guide: &lsquo; AI at Deriv: Your future fuelled by innovation '.
 
 
 
 Your challenges:
 
 
 
 <ul>
 <li>
 Investigate flagged client accounts by analysing both crypto and fiat transactions to uncover potential AML/CTF risks
 </li>
 <li>
 Carry out comprehensive KYC, KYT, CDD, EDD, and SOF/SOW checks, with particular emphasis on the risk exposure associated with virtual asset service providers (VASPs)
 </li>
 <li>
 Assess high-value crypto deposit and withdrawal requests by reviewing wallet addresses, transaction histories, and employing risk scoring methodologies through AI-powered tools and blockchain analytics
 </li>
 <li>
 Screen clients and wallets against politically exposed persons (PEP) lists, global sanctions databases, and adverse crypto or dark web exposures
 </li>
 <li>
 Prepare and submit detailed internal compliance reports, suspicious transaction reports (STRs), and quarterly/annual AML/CTF filings to regulatory authorities
 </li>
 <li>
 Collaborate with operational and product teams to provide guidance on crypto AML/CTF compliance, anti-fraud measures, and risk mitigation strategies, while continuously improving internal procedures
 
 
 </li>
 </ul>
 
 You may enjoy working with us if you:
 
 
 
 <ul>
 <li>
 Are enthusiastic about being part of a global team and appreciate working with people from over 80 different nationalities
 </li>
 <li>
 Are good at using your smarts to tackle tricky regulatory challenges and enjoy trying out new AI tools to keep things secure
 </li>
 <li>
 Enjoy being in a setting where you can solve problems, keep up with changing industry trends, and never stop learning
 </li>
 <li>
 Take pride in doing the right thing, protecting our reputation, and playing a key role in keeping our operations safe and sound
 </li>
 <li>
 Enjoy the intellectual stimulation of staying ahead of evolving crypto regulations, FATF guidance, and DeFi risks
 
 
 </li>
 </ul>
 
 Requirements:
 
 
 
 <ul>
 <li>
 Hold a university degree in finance, economics, law, risk management, criminology, business studies, data science or management and have 5+ years of compliance experience within the crypto and blockchain industry or fin-tech investment services.
 </li>
 <li>
 Possess strong knowledge of AML/CTF regulations, including VASP obligations and FATF recommendations, with proven experience in utilising blockchain analytics tools such as Chainalysis, TRM Labs or Elliptic for crypto wallet transaction monitoring
 </li>
 <li>
 Exhibit excellent analytical capabilities to identify patterns and anomalies in crypto transaction data, with proficiency in Excel and analysing complex datasets related to fiat and crypto transactions
 </li>
 <li>
 Communicate with clarity and precision in English, demonstrating meticulous attention to detail, strong organisational skills and the ability to make sound judgements based on limited information while upholding compliance standards
 </li>
 <li>
 Work with integrity, reliability and a strong ethical foundation, while being self-motivated, adaptable to changing priorities and enthusiastic about embracing AI and blockchain technologies in compliance work
 
 
 </li>
 </ul>
 
 Company culture:
 
 
 
 <ul>
 <li>
 Join a diverse, inclusive workplace that values innovation and cross-cultural collaboration.
 </li>
 <li>
 Enjoy competitive compensation, professional development opportunities
 </li>
 <li>
 Be part of a company recognised for excellence and committed to career growth opportunities.
 
 
 </li>
 </ul>
 You&rsquo;ll be based at our modern office in Dubai&rsquo;s prestigious Business Bay, a key centre for Deriv&rsquo;s Middle Eastern operations. Our Dubai office is home to over 200 talented professionals from diverse nationalities, creating a truly global workplace. You&rsquo;ll thrive in an expat-friendly environment that celebrates diversity and encourages cross-cultural collaboration, with regular knowledge-sharing sessions and team events.
 
 
 Dubai&rsquo;s position as a global business hub, combined with its tax-free benefits, ultramodern lifestyle, and family-friendly environment with excellent schools and healthcare, creates the perfect setting for international professionals. Join us in Dubai to shape the future of online trading while experiencing life in one of the world&rsquo;s most dynamic and cosmopolitan cities.
 
 
 Our culture is unique, and we live by our values and leadership principles, so it&rsquo;s worth learning more about Deriv's culture .
</div>

Compliance Analyst - AML & Crypto Risk

Wise

<div>Company Description 
Wise is a global technology company, building the best way to move and manage the world&rsquo;s money. 
Min fees. Max ease. Full speed.
Whether people and businesses are sending money to another country, spending abroad, or making and receiving international payments, Wise is on a mission to make their lives easier and save them money.
As part of our team, you will be helping us create an entirely new network for the world's money. 
For everyone, everywhere.
More about our mission and what we offer. 
Job Description 
Wise is looking for an experienced and forward-thinking Compliance Senior Manager to join our team in Dubai. This role will be responsible for building, leading, and managing the compliance framework for our new stablecoin and virtual asset services, licensed by Dubai's Virtual Assets Regulatory Authority (VARA). This is a unique opportunity to shape our compliance strategy from the ground up under a new regulatory paradigm.
As the Compliance Senior Manager, you will be the primary point of contact with VARA, ensuring that our operations not only meet but exceed regulatory expectations. You will work closely with a global team of specialists across Product, Legal, Operations, and Engineering to launch and scale innovative products safely and compliantly, helping us achieve our mission of making money instant, convenient, and transparent for everyone.
Key Responsibilities:
1. Regulatory Oversight &amp; Licensing<ul><li>
Act as the designated Virtual Asset Compliance Officer (VACO) as required by Virtual Assets Regulatory Authority (VARA), holding ultimate responsibility for the integrity and effectiveness of the compliance framework.</li><li>
Own the relationship with VARA, serving as the point of contact for all licensing, reporting, examinations, and strategic engagement.</li><li>
Build and maintain a robust, scalable compliance program tailored to the VARA framework.</li><li>
Oversee the maintenance of our VARA license, monitor, interpret, and advise the business on all regulatory developments from VARA and other relevant UAE authorities.</li></ul>
2. Governance &amp; Advisory<ul><li>
Localise and implement Wise&rsquo;s global compliance policies to ensure they are fit-for-purpose and compliant with VARA rules.</li><li>
Develop and deliver targeted training to the Board and senior management on the VARA framework and the specific risks associated with virtual assets.</li><li>
Report directly to the Board and senior leadership on the health of the compliance program, providing clear insights into emerging risks and the effectiveness of controls.</li><li>
Act as the key strategic advisor to the business, providing clear and practical compliance guidance on new product development and market expansion.</li></ul>
3. Financial Crime Compliance<ul><li>
Design and manage the financial crime risk management framework, addressing risks specific to virtual assets such as blockchain analytics, the &quot;Travel Rule&quot;, and counter-party VASP due diligence.</li><li>
Own the Suspicious Activity Reporting (SAR/STR) process, managing interactions with the UAE&rsquo;s Financial Intelligence Unit (FIU).</li><li>
Establish risk-based procedures for customer due diligence (CDD) and enhanced due diligence (EDD), and act as the point of escalation for high-risk customer approvals.</li></ul><ul><li>
Regularly assess the money laundering, terrorist financing, and sanctions risks associated with our virtual asset products and services.</li><li>
Implement systems and key risk indicators (KRIs) to track and monitor our regulatory and financial crime risks effectively.</li></ul>
This role will give you the opportunity to:<ul><li>
Build a compliance function from the ground up in the pioneering regulatory landscape of virtual assets in Dubai.</li><li>
Leverage your subject matter expertise to shape and influence the application of the VARA framework, setting a new standard for compliance in the virtual assets sector.</li><li>
Collaborate with brilliant teams across Wise, embedding compliance in our product innovation and growth strategy.</li></ul>
Qualifications &amp; Experience:<ul><li>
Minimum of 8 years&rsquo; experience in a regulatory or financial crime compliance role, OR 5 years of experience combined with a relevant professional certification (e.g., Certified Cryptoasset Financial Crime Compliance (CCFCC), Chainalysis Reactor Certification (CRC)).</li><li>
Demonstrable, direct, hands-on experience and in-depth knowledge of the virtual assets/cryptocurrency sector, including an understanding of key risks and industry best practices.</li><li>
Profound knowledge of UAE AML/CFT regulations and the FATF Recommendations for Virtual Asset Service Providers (VASPs). Experience with the VARA framework is a significant advantage.</li><li>
Proven ability to build and manage a compliance program, with experience in policy writing, risk assessment, and regulatory engagement.</li><li>
A &quot;growth mindset&quot; &ndash; you are passionate about expanding Wise's mission in a compliant, pragmatic, and solution-oriented manner.</li><li>
Excellent communication, negotiation, and interpersonal skills, with the ability to influence and build trust with internal and external stakeholders.</li><li>
Ability to work autonomously in a fast-paced, time-sensitive environment.</li></ul> 
Additional Information 
What we offer in return:<ul><li>
Competitive salary - see salary bandings top of job advertisement</li><li>
Generous stock options package</li><li>
A host of other Wise benefits</li></ul><div></div>
For everyone, everywhere. We're people building money without borders &mdash; without judgement or prejudice, too. We believe teams are strongest when they are diverse, equitable and inclusive.
We're proud to have a truly international team, and we celebrate our differences. 
Inclusive teams help us live our values and make sure every Wiser feels respected, empowered to contribute towards our mission and able to progress in their careers.
If you want to find out more about what it's like to work at Wise visit Wise.Jobs.
Keep up to date with life at Wise by following us on LinkedIn and Instagram.</div>

Compliance Senior Manager - Virtual Assets Compliance Officer (VACO)

Qataryello

The client is a Multi-Billion $ Family Office. Entity & Fiduciary Oversight<ul><li>Assist in SPV and entity lifecycle tasks: formation, renewals, and regulatory filings across UAE and offshore.</li><li>Coordinate with third-party providers to gather documentation and status updates.</li><li>Review and prepare written resolutions and board meeting minutes for each entity, ensuring compliance with corporate governance standards.</li><li>Maintain fiduciary registers, governance records, and investment files, ensuring completeness and accuracy.</li></ul> Legal & Compliance Support<ul><li>Assist in drafting and reviewing fiduciary agreements, compliance notes, and regulatory submissions under guidance.</li><li>Support KYC/onboarding procedures, including FATCA, CRS, US tax forms, and LEI applications.</li><li>Monitor deadlines; liaise with funds, administrators, and banks to ensure on-time filings.</li></ul> Transactional & Banking Operations<ul><li>Collate and validate transaction inputs, prepare structure charts, and manage document workflows.</li><li>Track deal progress via transaction trackers and maintain a full audit trail.</li><li>Facilitate bank account openings, mandate updates, digital access and LPOA administration.</li></ul> Client & Stakeholder Management<ul><li>Serve as primary contact for the internal teams, and external advisors.</li><li>Draft correspondence, meeting packs, and minutes; follow through on action items.</li><li>Produce governance, compliance, and financial reports for management's reviews.</li></ul> Liaison & Ad-Hoc Projects<ul><li>Assist in providing legal/administrative support to principals' private office and facilitating effective communication and coordination.</li><li>Assist on special projects or research assignments as requested by senior leadership.</li></ul> Budgeting & Invoicing<ul><li>Review, reconcile, and log quarterly invoices from fiduciary and compliance service providers.</li><li>Manage payment workflows in coordination with finance teams.</li><li>Assist in preparing annual service-provider budgets and monitor spending against forecasts.</li></ul> Required Qualifications & Experience:<ul><li>Bachelor's degree in finance, Business Administration, Law, or related field.</li><li>Part-Qualified STEP or ICSA or any certifications in Compliance, a plus.</li><li>2-3 years' experience in fiduciary services, trust administration, compliance, or private-client advisory.</li><li>Strong knowledge and proven track record of managing KYC, FATCA/CRS and entity governance processes.</li><li>Basic understanding of UAE corporate regulations and key offshore jurisdictions.</li><li>Exposure to legal document review and contract-administration procedures.</li></ul>

Fiduciary & Compliance Analyst

Lockton

<div>
 
 
 Working at Lockton
 
 
 
 At Lockton, we&rsquo;re passionate about helping our people achieve their ultimate potential. Our people are curious, action-oriented, and always striving to make ourselves and those around us better. We&rsquo;re active listeners working to ensure understanding and problem solvers developing innovative solutions. If you can see yourself delivering excellent service to clients, giving back to our communities and being a part of our caring culture,
 
 
 you belong here
 
 
 .
 
 
 The
 
 Senior Compliance Officer
 
 will play a key part in Lockton Insurance Brokers LLC and the retail business operation. The primary objective of this role is to take a proactive stance in devising solutions for business challenges, offering strategic advice, training, and guidance in the formulation of Lockton policies and procedures. This position demands maintaining exemplary professional standards that comply with legal and regulatory mandates, as well as upholding our ethical obligations and responsibilities towards our clientele, ensuring equitable treatment and effective management of conflicts of interest.
 
 
 The role encompasses the provision, oversight, and assurance of the organization's ability to equip itself with the necessary procedures, competencies, and tools essential for the delivery of its services and the achievement of its strategic goals. Furthermore, it involves extending comprehensive support across all operational facets within the Legal &amp; Compliance Unit, fostering an environment of compliance excellence and strategic alignment.
 
 
 
 
 
 
 Your Responsibilities
 
 
 
 
 
 <ul>
 <li>
 Design and implement compliance policies and procedures aligned with local regulations and industry best practices.
 </li>
 <li>
 Regularly review and update compliance frameworks to ensure ongoing adherence to evolving regulatory requirements.
 </li>
 <li>
 Continuously monitor and analyse updates in regulatory frameworks and new legislation that could impact the organization or the business operation.
 </li>
 <li>
 Assess the potential impact of regulatory changes on the organization&rsquo;s operations, compliance status, and strategic objectives, and provide well-informed recommendations for actions that need to be taken to ensure compliance with new regulations.
 </li>
 <li>
 Reviewing and updating the compliance manuals and ensuring they are aligned with the latest regulatory developments and legislations.
 </li>
 <li>
 Instituting robust procedures to minimize the risks associated with financial crimes, money laundering, bribery, and corruption within our operations.
 </li>
 <li>
 Ensure adequate onboarding process and procedures for new clients, markets and third parties.
 </li>
 <li>
 Continuous scrutiny of existing accounts and periodic review/re-evaluation of clients&rsquo; portfolio.
 </li>
 <li>
 Conducting ongoing assessments of client status changes, including the establishment of controls for account openings and transactions.
 </li>
 <li>
 Ensure all compliance registers including but not limited to PEPs, declined cases, regulatory and procedural breaches are updated.
 </li>
 <li>
 Regulatory reporting to the Central Bank, and submissions of information request, questionnaires, thematic reviews and other regulatory requests &amp; correspondence.
 </li>
 <li>
 Licenses management and timely renewal.
 </li>
 <li>
 Reviewing contractual agreements including NDAs, SLAs, TOBAs, Engagement letters, letter of undertaking, vendor agreements, etc.
 </li>
 <li>
 Conducting internal audits to ensure that associates are complying with internal policies and procedures.
 </li>
 <li>
 Guaranteeing the comprehensive documentation of case notes, especially for exceptional approvals and risk evaluations.
 </li>
 <li>
 Elevating irregularities and sanctioning decisions to the upper management.
 </li>
 <li>
 Participation in other compliance related projects and tasks such as data protection, E&amp;O, COI, external audits, regulatory request, etc.
 </li>
 <li>
 Active involvement in additional compliance-centric projects and duties.
 </li>
 </ul>
 
 
 
 
 
 Qualifications and Experience
 
 
 
 
 
 <ul>
 <li>
 
 knowledge and Experience:
 
 </li>
 <li>
 3 to 5 years&rsquo; experience of working in risk and compliance in the insurance industry.
 </li>
 <li>
 A legal background or past experience in reviewing contractual agreements.
 </li>
 <li>
 Willingness and ability to continue to develop knowledge of the insurance industry and enrol through formal and informal learning.
 </li>
 <li>
 A good understanding of the (re)insurance broking business.
 </li>
 </ul>
 
 
 
 <ul>
 <li>
 
 Qualifications
 
 </li>
 <li>
 Bachelor's degree in law, business or finance.
 </li>
 <li>
 ACAMS Certification
 </li>
 <li>
 Certification related to insurance (CII or equivalent)
 </li>
 </ul>
 
 
 
 <ul>
 <li>
 
 Personal Skills
 
 </li>
 </ul>
 
 
 
 <ul>
 <li>
 Proven ability to be flexible and adaptable to changing environment.
 </li>
 <li>
 Ability to communicate effectively and professionally both verbally and in writing internally and with external parties.
 </li>
 <li>
 Ability to manage time, prioritize and ensure that deadlines are met and when under pressure without compromising quality.
 </li>
 <li>
 Proven experience in analytical and problem-solving skills, including research and investigation.
 </li>
 <li>
 Proven ability in problem solving skills, including the ability to resolve unusual and complex issues and devise actionable solutions.
 </li>
 <li>
 Conscientious with a keen attention to detail.
 </li>
 </ul>
 
 
 
 
 
 Equal Opportunity Employer
 
 
 
 
 
 
 Lockton is proud to provide everyone an equal opportunity to grow and advance. We are committed to an inclusive and diverse culture and environment where our people, clients and communities are treated with respect and dignity.
 
 
 At Lockton, supporting diversity, equity and inclusion is ingrained in our values, and we believe that we are at our best when we fully embrace everyone. We strive to cultivate a caring culture that learns from, celebrates, and thrives because of our breadth of differences. As such, we recognize that recruiting, developing, and retaining people with diverse backgrounds and experiences is vital and enabling our people to thrive personally and professionally is critical to our long-term success.
 
 
 
 
 
 
 About Lockton
 
 
 
 
 
 
 Lockton is the largest privately held independent insurance brokerage in the world. Since 1966, our independence has allowed us to serve our clients, take care of our people and give back to our communities. As such, our 10,000+ Associates doing business in over 100 countries are empowered to do what&rsquo;s right every day.
 
 
 At Lockton, we believe in the power of all people. You belong at Lockton.
 
 
 
 
 
 
 How We Will Support You
 
 
 
 
 
 
 At Lockton, we empower you to be true to yourself in all that you do. Your success is our success, and we provide opportunities to help you grow and create a rewarding career path, however you envision it.
 
 <ul>
 <li>
 Competitive Salary and Benefits Package
 </li>
 <li>
 Professional experience in a truly global company that is reshaping the industry
 </li>
 <li>
 Excellent growth opportunities
 </li>
 <li>
 Benefit from a collaborative approach with in-country specialists to assist you in driving growth
 </li>
 <li>
 Support, coaching and development to help you to be the best you can be
 </li>
 <li>
 Hybrid working model, offering you flexibility and a great working environment
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 </ul>
 
 
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Senior Compliance Officer

Emirates NBD

<div>About ENBD 
Emirates NBD is a market leader across the MENAT (Middle East, North Africa and T&uuml;rkiye) region with a presence in 13 countries, serving over 9 million customers. Emirates NBD is the leading financial services brand in the UAE with a Brand value of approximately USD 4 billion. We serve our customers and help them realise their financial objectives through a range of banking products and services including retail banking, corporate &amp; institutional banking, Islamic banking, investment banking, private banking, asset management, global markets and treasury, and brokerage operations. We are a key participant in the global digital banking industry, with 97% of all financial transactions and requests conducted outside of our branches. We also operate Liv, the lifestyle digital bank by Emirates NBD. With over half a million users, it continues to be the fastest-growing digital bank in the region. 
Job Overview: 
As a Senior Manager - Wealth Management Compliance at Emirates NBD, your role is to support the Head of Capital markets Compliance on all Compliance related matters ensuring compliance with circulars, Rules, and Regulations provided by the regulator SCA, DFM, ADX, NASDAQ DUBAI, DGCX Markets for ENBD / ENBDS. This includes providing guidance and advice to the relevant Compliance and Business areas on policy related matters in regard to applicable regulations of the UAE Securities &amp; Commodities Authority (SCA). 
Key Responsibilities:
<ul><li>Reviewing new investment products from a Compliance perspective before being submitted to the Wealth Management Investment Committee. Products include: Funds and Structured Products. Private Equity Funds Real Estate Funds Direct Investment opportunities etc.
</li><li>Ensuring that products are approved internally as per the process and obtain the relevant regulatory approvals (SCA) as appropriate
</li><li>Recommend to Dept Head the methods in improving the Compliance process by ensuring effective organizational performance, accountability and communicating risk and control information to appropriate areas of the organization
</li><li>Respond to queries from SCA and respond to them in a timely manner
</li><li>Creating meaningful relationship with internal and external customers through the appropriate management of their expectations and agreed objectives. This includes external customers such as regulators, auditors and service providers as well as internal customers such as Business Unit, Executives, Relationship Managers.
</li><li>Keeping track of regulatory developments and assessing the impact of such changes to the Bank and subsidiaries from an SCA standpoint
</li>Review, investigate, report and ensure resolution of compliance violations that arise outside the Adhoc reviews 
<li>
</li></ul>Skills and Experience:
<ul><li>Appreciation of SCA Rules and Regulations.
</li><li>Excellent understanding of the Brokerage /Banking function
</li><li>Excellent verbal communication skills (English and Arabic)
 
Good written communication skills (English and Arabic)
</li><li>8 years&rsquo; experience in a Brokerage/Banking of Financial Institution
</li><li>4-6 years&rsquo; experience in Compliance / Regulatory Body / Audit
</li>Previous experience in banking/regulatory environment 
<li>
</li></ul>There&rsquo;s never been a better time to join Emirates NBD.
We&rsquo;re one of the region&rsquo;s most recognisable brands. We&rsquo;re banking innovation leaders. We&rsquo;re growing across both the UAE and our global offices. We offer a huge range of professional development opportunities to accelerate your career. It also goes without saying that we provide extremely competitive rewards, benefits and perks too, like our flexible work policy so you can work from home whenever it suits. 
At ENBD, we encourage interested candidates to review the key responsibilities and qualifications for each role and apply for positions that match their skills and capabilities.</div>

Senior Manager - Wealth Management Compliance

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