senior compliance analyst

Bank Of The Orient

<p><b>Senior Compliance Analyst</b></p><p>Bank of the Orient is an independent Asian Community Bank that has proudly served the financial needs of multiple Bay Area communities for over 54 years and the Sugar Land, Texas area. We are well known for our commitment to providing the highest level of personal service to our customers; we take a personal interest in our communities' unique banking needs, we are dedicated to providing integrity in banking and financial services, we provide high quality dependable service by being accessible and reliable. We are committed to excellence in everything we do.</p><p>We have an opening for a Senior Compliance Analyst is responsible for assisting Compliance Officer in implementation and maintenance of the Bank&rsquo;s CMS (Compliance Management Systems) program, risk assessments and compliance monitoring. Position requires competency in bank regulations, such as, Fair Lending, Flood Insurance, TISA, TILA, ECOA, UDAAP, CRA, HMDA, etc., ,as applicable. Assists in providing technical support, and interpretation and dissemination of information. Position is also responsible for assisting with the Bank&rsquo;s BSA/AML and, Fraud programs. Position also participates in safety and security program to safeguard the internal and external security of the Bank including electronic data.</p><p><b>ESSENTIAL DUTIES:</b></p><p>1. Demonstrates quality customer service principles with managers, co-workers, vendors, examiners, etc. consistently.</p><p>2. End to end knowledge of CMS including but not limited to written compliance policy and procedures, risk assessments, complaints management, issues tracking and remediation.</p><p>3. Identifies and evaluates compliance processes, risks and internal controls for Bank&rsquo;s CMS program. Leads second line compliance testing, monitoring, risk assessment and reporting in various areas for regulatory and consumer compliance.</p><p>4. Prepares and files various compliance reports and forms as required by laws, rules and regulation, implements, initiates and generates regular report for compliance monitoring activity to meet Bank obligations, reporting on various committees, board, task force and issue tracking and remediation of corrective action.</p><p>5. Follow through as the principal coordinator for various task force committees.</p><p>6. Keeps abreast of new regulatory guidelines from the various regulatory agencies and assists in implementing processes that enable the Bank to meet guidelines with a satisfactory rating.</p><p>7. Prepares and summarizes information for distribution and may train bank staff by interpreting policies and procedures relative to positions and departments.</p><p>8. Maintains policies and procedures manuals for compliance, insuring they are up to date and complete.</p><p>9. Reviews marketing, advertising and customer disclosures for regulatory compliance.</p><p>10. Administers the bank wide compliance training program to ensure accurate tracking of completion of assigned courses for bank employees.</p><p>11. Reviews branches and departments operations on a continuous basis for sustained compliance with laws and regulations on deposit, lending, retail and operations, identifies problems and deficiencies, reports them to the Compliance Officer, and makes recommendations for corrective actions.</p><p>12. Coordinates with Branch Management to ensure new compliance procedures or changes to existing procedures are properly implemented.</p><p>13. Actively participates in any required Bank training satisfactorily and on time &ndash; i.e., customer service training, legal regulatory training and bank compliance training.</p><p>14. Participates in assigned special projects which includes, but are not limited to new system implementation, new products and services, new branch opening, Business Continuity Planning (BCP), Vendor Management, etc.</p><p>15. Maintains strict control and confidentiality over all non-public customer information in accordance with the Gramm-Leach-Bliley Act, CCPA, and all applicable state regulations and the Bank&rsquo;s Customer Information Security Policy.</p><p>16. Abides by the Bank&rsquo;s Compliance Programs, as well as other compliance and security banking laws, rules and regulations.</p><p><b>REQUIREMENTS:</b></p><p>1. Minimum bachelor&rsquo;s degree in business or related field.</p><p>2. Minimum 5 years commercial banking experience; specifically, in developing and administering regulatory compliance in banking.</p><p>3. Minimum 5 years previous experience in consumer compliance. internal audit, or consulting, etc.</p><p>4. Advanced certification or professional designation &ndash; i.e., CRCM, CAMS, CFE, JD, etc.</p><p>5. Strong written and spoken English and Chinese Mandarin, a plus.</p><p>6. Good understanding of bank compliance laws and regulations affecting bank deposit operations and lending services.</p><p>7. Competency in application of regulatory compliance rules and laws.</p><p>8. Demonstrated ability to read and analyze financial and procedural data and to recognize potential conflicts.</p><p>9. Ability to use knowledge, experience, discretion and independent judgment in resolving problems.</p><p>10. Demonstrated ability to prioritize tasks and meet deadlines.</p><p>11. Demonstrated ability to handle a large volume of work under minimal supervision.</p><p>12. Proficient computer skills &ndash; i.e., MS Word, Excel, Teams, SharePoint, Database and Training Programs.</p><p>13. Excellent oral and written communication skills.</p><p>14. Good working knowledge of transaction monitoring systems and compliance reg tech system</p><p>Candidate will be subject to investigation through credit checks, reference checks, background checks and fingerprinting checks performed at the time permissible under relevant law.</p><p>Email resume to: Career@bankorient.com</p><p>Visit our website at: www.bankorient.com for additional information.</p><p>Bank of the Orient is proud to be an Affirmative Action, Equal Opportunity Employer.</p><p>Job Type: Full-time</p><p>Pay: $87,000.00 - $111,000.00 per year</p><p>Benefits:</p><ul><li>401(k)</li><li>401(k) matching</li><li>Dental insurance</li><li>Employee assistance program</li><li>Flexible spending account</li><li>Health insurance</li><li>Life insurance</li><li>Paid time off</li><li>Referral program</li><li>Vision insurance</li></ul><p>People with a criminal record are encouraged to apply</p><p>Work Location: In person</p>

Senior Compliance Analyst - in Banking

Prime Therapeutics

<div><div>Our work matters. We help people get the medicine they need to feel better and live well. We do not lose sight of that. It fuels our passion and drives every decision we make.</div><div>
Job Posting Title</div><div></div>
Senior Compliance Analyst (Risk Assessment and Oversight)<div>
Job Description</div><div></div><div>
The Senior Compliance Analyst assists in the implementation of Prime&rsquo;s compliance programs and leads initiatives within their designated areas. This role partners with key internal stakeholders to execute assigned Compliance Oversight activities, which may include validating compliance gap closures throughout the business, partnering to facilitate company-wide Compliance Risk Assessment, and conducting new and ongoing compliance oversight activities to ensure alignment with regulatory expectations.</div><div></div><div>
Responsibilities</div><ul><li>
Conduct Compliance Oversight activities in effort to prevent, detect, and correct compliance concerns.</li><li>
Lead project management efforts for highly sensitive Compliance initiatives</li><li>
Represents the Compliance Department on complex contracts or cross-functional projects; identifies key stakeholders from across the enterprise and establishes effective collaboration techniques to maintain ongoing partnership between functions</li><li>
May collect, prepare and maintain records and related documentation for reporting to the Chief Compliance Officer, Prime&rsquo;s senior leadership team, executives, Corporate Compliance Committee members and the Board of Directors; collaborates across the compliance organization to collect and organize information into clear, accurate and effective executive reports</li><li>
Serves as subject matter expert within Compliance and develops solutions to highly complex compliance problems by referring to precedence, policies and standard operating procedures; escalate issues to Compliance leadership as appropriate and enhance or develop new supporting documentation as necessary</li><li>
May execute and enhance Prime&rsquo;s compliance programs by developing, maintaining and delivering compliance documentation and training, administering the annual conflict of interest or other cyclical compliance processes, or implementing a regular review cadence for standard operating procedures (SOP) and policies</li><li>
Research and interpret laws, industry guidance and regulatory issues that impact Prime&rsquo;s compliance programs document requirements or disciplinary actions and escalate findings as appropriate</li><li>
Respond to requests for information and proposals, develop/revise/maintain departmental SOPs and other supporting documentation</li><li>
Other duties as assigned</li></ul><div></div><div>
Education &amp; Experience</div><ul><li>
Bachelor&rsquo;s degree in business, healthcare, or related area of study, or equivalent combination of education and/or relevant work experience; HS diploma or GED is required</li></ul><ul><li>
5 years of progressive work experience in legal or compliance related roles for a healthcare or PBM organization, or other highly regulated industry, including experience with Medicare, Medicaid, and the Affordable Care Act (ACA)</li><li>
Must be eligible to work in the United States without need for work visa or residency sponsorship</li></ul><div></div><div>
Additional Qualifications</div><div></div><ul><li>
Exceptional written and oral communication skills</li><li>
Demonstrated ability to apply critical thinking skills and problem solve through highly complex situations</li><li>
Complete understanding of effective compliance program principles, concepts, practices and standards; full breadth of knowledge around industry best practices and challenges; experience developing new concepts, techniques, standards and programs to support an organization&rsquo;s compliance priorities</li><li>
Ability to effectively present complex information to a wide variety of audiences</li><li>
Ability to establish rapport and effectively influence at all levels within an organization</li><li>
Enhanced organizational skills with the ability to effectively work on multiple projects simultaneously</li><li>
Strong analytical skills</li></ul><div></div><div>
Preferred Qualifications</div><ul><li>
PBM/health care experience related to Medicare, Medicaid, Commercial, HIM</li><li>
Certified Compliance and Ethics Professional (CCEP) or Certified Healthcare Compliance Professional (CHC)</li><li>
Certified Project Management Professional (PMP)</li><li>
Advanced degree in related area of study, such as Juris Doctor</li></ul><div></div><div>
Physical Demands</div><ul><li>
Ability to travel up to 10% of the time</li><li>
Constantly required to sit, use hands to handle or feel, talk and hear</li><li>
Frequently required to reach with hands and arms</li><li>
Occasionally required to stand, walk and stoop, kneel, and crouch</li><li>
Occasionally required to lift and/or move up to 10 pounds and occasionally lift and/or move up to 25 pounds</li><li>
Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, depth perception and ability to adjust focus</li></ul><div></div><div>
Every employee must understand, comply with and attest to the security responsibilities and security controls unique to their job, and comply with all applicable legal, regulatory, and contractual requirements and internal policies and procedures.</div><div></div>
Potential pay for this position ranges from $74,000.00 - $118,000.00 based on experience and skills.<div></div><div><i><br>
Prime Therapeutics LLC is proud to be an equal opportunity and affirmative action employer. We encourage diverse candidates to apply, and all qualified applicants will receive consideration for employment without regard to </i><i>race, color, religion, gender, sex (including pregnancy), national origin, disability, age, veteran status, or any other legally protected class under federal, state, or local law.</i></div><div></div><div><i>
We welcome people of different backgrounds, experiences, abilities, and perspectives including qualified applicants with arrest and conviction records and any qualified applicants requiring reasonable accommodations in accordance with the law.</i></div><div></div><div><i>
Prime Therapeutics LLC is a Tobacco-Free Workplace employer.</i></div><div></div><div>
Positions will be posted for a minimum of five consecutive workdays.</div></div>

Senior Compliance Analyst (Risk Assessment and Oversight)

Brown University

<div><div>Job Description:</div><div></div><div>
As a member of the Office of Sponsored Projects (OSP), reporting to the Director of Research Financial Compliance Team, the Analyst is responsible for supporting the Director of Research Financial Compliance with sponsored project related audits, specialized financial reporting to external sponsors and financial quality assurance/quality improvement. The Analyst will assist the Director with coordinating and responding to audits, desk reviews, risk assessments, and other sponsor inquiries. Additionally, the incumbent will assist with development of corrective action plans to address findings and management recommendations, and ensures that such plans are documented, implemented, and regularly reviewed.</div><div></div><div>
The incumbent participates in initiatives with partner offices at the University, including Controller, OIT/ Workday Program, Corporate &amp; Foundation Relations, and Internal Audit. The incumbent also acts to ensure compliance with the University&rsquo;s federal, non-federal, corporate and foundation sponsor requirements as needed and in concert with other units within OSP, and university representatives.</div><div></div><div>
Further responsibilities may extend to leading advanced training on select topics (e.g. effort reporting, audit outcomes/recommendations, etc.) for the campus community in partnership with the Research Training Office.</div><div></div><div>
The incumbent is responsible for staying up to date on legal, regulatory, and policy issues that affect financial research administration and audit (such as 2 CFR 200, federal acquisition regulations, agency requirements, and GAAP), and through active participation in professional societies such as National Council of University Research Administrators (NCURA). The Analyst serves as a resource to faculty and departmental research administrators for questions on research financial compliance.</div><div></div><div>
Responsibilities</div><ul><li>
Effort Reporting, Sponsor Surveys/Reporting and Audit</li><li>
Support Sponsored Projects Financial Quality Control/Quality Improvement Program</li><li>
Cash on Hand Annual Validation/Letters of Credit/NSF Program Income Annual Certification reports</li></ul><div></div><div>
Education and Experience</div><ul><li>
Bachelor&rsquo;s degree required; Accounting or Finance major, and/or CPA preferred.</li><li>
Experience in Workday or similar enterprise financial systems.</li><li>
Experience: 5-7 years of research administration experience or closely related experience preferred</li></ul><div></div><div>
Job Competencies</div><ul><li>
Ability to manage and safeguard confidential financial and business data and to ensure confidentiality is maintained by staff.</li><li>
Must have in-depth knowledge of Federal regulations for sponsored project funding; superlative working knowledge of sponsored project accounting and reporting functions; working knowledge of the award life cycle, including pre-award activities; experience with external audits.</li><li>
Strong knowledge of how financial systems work and function.</li><li>
Initiative and judgment to independently problem solve and prioritize. Ability to work independently, but also as a strong team player when needed.</li><li>
Must have flexible and adaptive work style to manage multiple priorities to achieve goals for operational efficiency and fiscal stability.</li><li>
Strong customer service orientation is required.</li><li>
Must be able to take initiative to keep pace with changes in research administration policies and procedures, as well as Brown&rsquo;s expanding research enterprise.</li><li>
Demonstrated ability to support a community of diverse perspectives and cultures in an inclusive environment</li></ul><div></div><div>
Additional Information</div><div>
Applicants are asked to include a cover letter and resume with their application.</div><div></div><div>
We are unable to offer Visa Sponsorship for this position.</div><div></div><div>
All offers of employment are contingent upon a criminal background check and education verification satisfactory to Brown University.</div><div></div><div>
Benefits of Working at Brown:</div><div>
Information on the Benefits of Working at Brown can be found <div>here</div>.</div><div></div><div>
Recruiting Start Date:</div><div></div>
2025-09-02<div></div><div>
Job Posting Title:</div>
Senior Financial Compliance Analyst<div></div><div>
Department:</div>
Office of Sponsored Projects<div></div><div>
Grade:</div>
Grade 10<div></div><div>
Worker Type:</div>
Employee<div></div><div>
Worker Sub-Type:</div><div></div>
Regular<div></div><div>
Time Type:</div>
Full time<div></div><div>
Scheduled Weekly Hours:</div>
37.5<div></div><div>
Position Work Location:</div>
Hybrid Eligible<div></div><div><br>
Statement on Equity, Diversity and Inclusion:</div><div>
All positions require demonstrated ability to work collaboratively with faculty, staff, students, and other Brown and community stakeholders with diverse perspectives and demonstrated ability to contribute to an inclusive environment.</div><div></div><div>
Submission Guidelines:</div><div>
Please note that in order to be considered an applicant for any staff position at Brown University you must submit an application form for each position for which you believe you are qualified. Applications are not kept on file for future positions. Please include a cover letter and resume with each position application.</div><div></div><div>
Still Have Questions?</div><div>
If you have any questions you may contact <div>employment@brown.edu</div>.</div><div></div><div>
EEO Statement:</div><div>
Brown University is an E-Verify Employer.</div><div></div><div>
As an <div>EEO employer</div>, Brown University provides equal opportunity and prohibits discrimination, harassment and retaliation based upon a person&rsquo;s race, color, religion, sex, age, national or ethnic origin, disability, veteran status, sexual orientation, gender identity, gender expression, or any other characteristic protected under applicable law.</div></div>

Senior Financial Compliance Analyst

AML RightSource

<div><p><b>Job Description:</b></p><p><b>
About AML RightSource</b></p><p>
We are AML RightSource, the leading technology-enabled managed services firm focused on fighting financial crime for our clients and the world. Headquartered in Cleveland, Ohio, and operating across the globe, we are a trusted partner to our financial institution, FinTech, money service business, and corporate clients.</p><p></p><p>
Using a blend of highly trained anti-financial crime professionals, cutting-edge technology tools, and industry-leading consultants, we help clients with their AML/BSA, transaction monitoring, client onboarding (KYC), enhanced due diligence (EDD), and risk management needs.</p><p></p><p>
We support clients in meeting day-to-day compliance tasks, urgent projects, and strategic changes. Globally, our staff of more than 4,000 highly trained analysts and subject matter experts is the industry's largest group of full-time compliance professionals. Together with our clients, we are Reimagining Compliance.</p><p></p><p><b>
About the Position</b></p><p>
An Senior Analyst/ Analyst works with our clients (banks and non-bank financial institutions) to provide advice and counsel in order to help them fight financial crime and mitigate financial crime risks. The purpose of this role is to detect and investigate unusual financial activity by performing both quality control work related to the work of our Associate Analysts, and performing his/her own detailed monitoring of account activity and ensuring compliance with regulatory policies, operational policies, and/or reviewing client files for the purpose of performing Know your Customer (KYC) Procedures. In short, you are on the front-line of making decisions as to how to keep clients compliant with applicable law and regulations.</p><p></p><p>
An Senior Analyst/ Analyst, you research and analyze various sources of data and provide written summaries of recommendations and conclusions as it relates to the identification of suspicious or unusual financial activity and/or reviewing client files for the purpose of performing Know your Customer (KYC) Procedures.</p><p></p><p>
You may perform quality control activities, supervisory responsibility on occasion and be responsible for ad hoc communication with client. You will need to exercise discretion and judgment in the work, and you must be able to work efficiently and independently in a fast-paced, dynamic environment.</p><p></p><p><b>
Primary Responsibilities</b></p><ul><li><p>
Identify data anomalies and red flags for money laundering, terrorist financing, fraud, sanctions violations, and escalate for second level review.</p></li><li><p>
Verify the identity of clients to understand the nature and purpose of their relationship with the financial institution for the purposes of performing Know your Customer (KYC) Procedures, escalating where appropriate for second level review&middot; Ability to perform quality control work as needed.</p></li><li><p>
Assist with advanced tasks including communication with clients, analyzing production data and creating client specific aids and training.</p></li><li><p>
Independently assist analyst with workflow items and administrative tasks as they arise.</p></li><li><p>
Submit written work product for review by AMLRS and client-led quality control teams, make the requested adjustments as necessary, and apply the feedback going forward.</p></li><li><p>
Adhere to all designated timeframes and procedure to ensure on time and accurate completion of work.</p></li><li><p>
Work and contribute in a team-oriented and collaborative environment.</p></li><li><p>
Adhere to and comply with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money, as well as adhering to company policies and procedures and client requirements.</p></li></ul><p></p><p><b>
Required Qualifications</b></p><ul><li><p>
Bachelor&rsquo;s Degree with 1 to 7 years of relevant AML/BSA/KYC/TM/Crypto/CDD/EDD experience.</p></li><li><p>
Strong communication skills and ability to produce narrative and written summaries clearly synthesizing recommendations and conclusions.</p></li><li><p>
Strong analytical, problem solving and organizational skills.</p></li><li><p>
Proficient in Microsoft Excel, Microsoft PowerPoint &amp; Microsoft Word, with ability to learn new technologies quickly.</p></li><li><p>
Ability to multi-task, work independently and as part of a team, establishing cooperative and collaborative working relationships.</p></li></ul><p><b><br>
Preferred Qualifications</b><br>
<b>Professional Certification</b></p><ul><li><p>
Strong knowledge of banking industry and related regulations and laws.</p></li><li><p>
Strong entrepreneurial spirit, highly collaborative, able to express ideas readily, manage change fluidly, able to influence and identify opportunities for improvement.</p></li></ul><p><b><br>
Work Shift</b></p><ul><li>
Rotational Work shift with cab facilities both sides.</li></ul><p></p><h2 class="jobSectionHeader"><b><br>
AML RightSource is committed to fostering a diverse work environment and is proud to be an equal opportunity employer. We provide equal employment opportunities to all qualified applicants without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.</b></h2><p></p><p><b>
Recruitment Scam Alerts</b></p><p><b>
We&rsquo;re aware of an increase in recruitment scams where individuals falsely claim to represent AML RightSource. These scammers may ask for money or personal information by offering fake job opportunities through e-mail, text message or social media. Please verify the source of any job-related communications carefully. All official AML RightSource communications are conducted through &quot;@amlrightsource.com&quot; email addresses. If you encounter suspicious messages, do not respond.</b></p></div>

Financial Crime Compliance Analyst, Delhi NCR

DICETEK LLC

<div><p><b>Job Description: Senior Analyst, Compliance &amp; Fraud Systems Support
</b></p><p><b>Department:</b> Technology</p><p>
<b>Location:</b> Dubai</p><p>
<b>Reporting to:</b> Manager, Application Support</p><p><b>
Job Summary</b></p><p>
We are seeking a highly skilled and motivated Senior Analyst to provide expert-level support and administration for our suite of financial crime compliance systems, with a primary focus on NICE Actimize. In this role, you will be the technical subject matter expert (SME) responsible for ensuring the stability, performance, and effectiveness of our fraud detection and anti-money laundering (AML) platforms. You will work closely with Compliance, Fraud Operations, and IT teams to troubleshoot issues, implement configurations, and support the systems that protect the bank from financial crime.</p><p><b>
Key Responsibilities</b></p><p><b>
System Administration &amp; Support:</b></p><ul><li>
Provide L2/L3 technical support for the NICE Actimize suite (e.g., ACT One, Watchlist Compliance, SAM, ERCM, IFM-X) in a 24/7 banking environment.</li><li>
Monitor system health, performance, and batch job processing (e.g., scenario execution, case management workflows).</li><li>
Investigate, diagnose, and resolve complex technical incidents and service requests related to application errors, data feed issues, and user access.</li><li>
Perform routine application maintenance, including patching, upgrades, and environment refreshes in coordination with the infrastructure team.</li></ul><p><b>
Configuration &amp; Business Rule Management:</b></p><ul><li>
Implement and test changes to scenario tuning, rules, parameters, and risk models within the Actimize platform as directed by the Compliance team.</li><li>
Support the back-testing and calibration of fraud and AML scenarios to optimize alert quality and reduce false positives.</li><li>
Manage reference data, watchlists, and other static data configurations within the systems.</li></ul><p><b>
Data Integration &amp; Analysis:</b></p><ul><li>
Troubleshoot and support real-time and batch data feeds from core banking systems (transactions, customer data) into Actimize.</li><li>
Write basic SQL queries to investigate data discrepancies, validate feed completeness, and support ad-hoc data analysis for the business.</li><li>
Collaborate with data engineering teams to resolve data pipeline issues affecting Actimize.</li></ul><p><b>
Stakeholder Collaboration &amp; Documentation:</b></p><ul><li>
Act as a liaison between IT infrastructure, application vendors (NICE), and business users (Compliance/Fraud Investigators).</li><li>
Create and maintain detailed technical documentation, including system configurations, support procedures, and knowledge base articles.</li><li>
Provide training and guidance to L1 support staff and end-users on system functionality and best practices.</li></ul><p><b>
Qualifications &amp; Experience</b></p><p><b>
Required:</b></p><ul><li>
Bachelor&rsquo;s degree in Computer Science, Information Technology, Finance, or a related field.</li><li>
3+ years of hands-on experience administering, configuring, and supporting the NICE Actimize platform in a banking or financial services environment.</li><li>
Strong understanding of AML and Fraud typologies, scenarios, and investigative processes.</li><li>
Proven experience with SQL for data querying and analysis.</li><li>
Solid understanding of Unix/Linux commands and basic shell scripting.</li><li>
Excellent problem-solving and analytical skills with a keen attention to detail.</li></ul><p><b>
Highly Desirable:</b></p><ul><li>
NICE Actimize professional certifications (e.g., Certified Administrator).</li><li>
Experience with other financial crime systems (e.g., Oracle Mantas, SAS AML, Featurespace).</li><li>
Knowledge of UAE banking systems and payment networks (SWIFT, IPI/FTS, NPSS, WPS etc.).</li><li>
Familiarity with ITIL framework principles (Incident, Problem, Change Management).</li></ul></div><p></p>

Senior Analyst, Compliance & Fraud Systems Support

FH Capital

<div>
 <p>
  <strong>
   <u>
    Summary
   </u>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  The Senior Manager Compliance &amp; Internal Control is responsible for leading and overseeing the organization&rsquo;s compliance framework, governance, and internal control environment. This role ensures full alignment with applicable UAE and international regulations, including Securities and Commodities Authority (SCA) requirements, and strengthens the company&rsquo;s risk management culture.
 </p>
 <p>
  <br/>
 </p>
 <p>
  The position serves as the primary regulatory contact, advises senior leadership on compliance matters, and ensures the company operates with integrity, transparency, and operational excellence.
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   <u>
    Key Responsibilities
   </u>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Strategic Compliance Leadership
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Develop, implement, and continuously enhance the company&rsquo;s compliance and internal control strategy in alignment with regulatory requirements and business objectives.
  </li>
  <li>
   Serve as the main point of contact for regulatory authorities (e.g., SCA, DIFC, ADGM) and maintain strong relationships to ensure proactive engagement and timely compliance.
  </li>
  <li>
   Advise the Board of Directors and Executive Management on compliance risks, emerging regulatory trends, and strategic implications.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Regulatory &amp; Risk Oversight
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Oversee the adequacy and effectiveness of internal control frameworks, risk management practices, and corporate governance processes.
  </li>
  <li>
   Lead the implementation and monitoring of AML, CTF, and financial crime prevention programs.
  </li>
  <li>
   Ensure timely updates to policies, procedures, and SOPs in line with evolving regulations.
  </li>
  <li>
   Approve and submit regulatory reports, including Capital Adequacy, AuMs, and other statutory filings.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Operational Compliance Management
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Direct the compliance review process for advertising, client communications, disclosures, and investment products.
  </li>
  <li>
   Oversee and validate the accuracy and reliability of financial statements and client account records submitted to regulators.
  </li>
  <li>
   Lead internal investigations, ensuring proper documentation, reporting, and remedial actions.
  </li>
  <li>
   Monitor conflict of interest situations and ensure appropriate handling in line with policy.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   People &amp; Culture
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Lead, mentor, and develop the Compliance and Internal Control team to ensure high performance and strong regulatory knowledge.
  </li>
  <li>
   Promote a compliance driven culture across all departments through training, awareness programs, and proactive communication.
  </li>
  <li>
   Foster cross functional collaboration to ensure compliance integration across operations, finance, risk, and product development.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   Governance &amp; Reporting
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Prepare and present regular compliance and audit reports to the Board of Directors.
  </li>
  <li>
   Recommend process improvements to strengthen governance and operational efficiency.
  </li>
  <li>
   Ensure prompt and appropriate action in response to identified violations, including escalation to the Board or external authorities where required.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   <u>
    Knowledge &amp; Skills
   </u>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Strong leadership and stakeholder management capabilities.
  </li>
  <li>
   Deep understanding of UAE and international regulatory environments for financial services and capital markets.
  </li>
  <li>
   Strategic problem solving and decision making abilities.
  </li>
  <li>
   Exceptional communication and presentation skills, including the ability to engage with regulators and senior executives.
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   <u>
    Qualifications
   </u>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   ICA certifications in Compliance, Legal Compliance, AML, Client Due Diligence, Fraud Management, Sanctions Risk, or Financial Crime Risk in Banking &amp; Markets.
  </li>
  <li>
   Bachelor&rsquo;s degree with UAE Ministry of Education equivalency (Master&rsquo;s preferred).
  </li>
  <li>
   Professional qualifications such as CPA, CIA, CMA, Master Financial Controller, Chartered Development Finance Analyst, or SCA license (or equivalent).
  </li>
 </ul>
 <p>
  <br/>
 </p>
 <p>
  <strong>
   <u>
    Experience
   </u>
  </strong>
 </p>
 <p>
  <br/>
 </p>
 <ul>
  <li>
   Minimum 10 years of progressive compliance and governance experience, with at least 5 years in a leadership role within investment banking, capital markets, or regulated financial institutions.
  </li>
  <li>
   Demonstrated track record of managing regulatory relationships and driving compliance strategy at a senior level.
  </li>
 </ul>
 <p>
 </p>
</div>


Senior Manager - Compliance & Internal Control

Search 10000+ Senior compliance analyst jobs near you this September. New roles added regularly across leading industries. Apply today.

10000 senior compliance analyst jobs NEAR_ME

Senior Compliance Analyst - in Banking

Senior Compliance Analyst (Risk Assessment and Oversight)

Senior Financial Compliance Analyst

Financial Crime Compliance Analyst, Delhi NCR

Senior Analyst, Compliance & Fraud Systems Support

Senior Analyst, Compliance & Fraud Systems Support

Senior Manager - Compliance & Internal Control