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senior compliance officer

Freight Investor Services

Key Responsibilities: Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;<ul><li> </li> <li> Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business; </li> <li> Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance; </li> <li> Collaborate with different company departments to monitor enforcement of standards and regulations; </li> <li> Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate; </li> <li> Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client; </li> <li> Communicate efficiently with the respective client and/or broker to gather all necessary information; </li> <li> Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries; </li> <li> Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies; </li> <li> Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats; </li> <li> Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding; </li> <li> Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm s AML &amp; KYC requirements are met; </li> <li> Identify, review and disposition of all PEP s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm; </li> <li> Classify clients from a risk and regulatory perspective; </li> <li> Investigate and escalate all suspicious activity and financial crime (AML &amp; Fraud) related issues with relevant proposals to protect the business; </li> <li> Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding; </li> <li> Review onboarding accounts as required; </li> <li> Effectively manage KYC inbox; ensuring all emails are responded to; </li> <li> Ensure that all queries are answered promptly and in full; </li> <li> Ensure that all processes are followed, and trackers are updated accurately; </li> <li> Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register; </li> <li> Work on special projects and assists with ad hoc projects as required; </li> <li> Monitor any material changes that may impact the risk status of client files; </li> <li> Perform any other reasonable duties the company may require </li> </ul> <div> </div> Requirements <ul> <li> Previous Compliance experience either in commodity markets or communications surveillance &amp; market abuse </li> <li> Demonstrate knowledge of Compliance laws, rules, regulations, risks and typologies with emphasis on Money Laundering &amp; MAS regulations </li> <li> Experience of using approved KYC vendor sources e.g. Orbis, Corporate Registries, and others </li> <li> Possess good knowledge of onboarding process from start to finish, such as KYC/client risk rating, suspicious activity reporting, client screening/sanctions requirements, and risk assessment </li> <li> Knowledge of High risk indicators and revision of complex structures and entity types including Trusts, Funds overseas jurisdictions (BVI, Channel Islands, Cayman Islands etc) </li> <li> Possess some knowledge of regulatory requirements in other jurisdictions i.e. Singapore </li> <li> Educated to degree level in a related subject matter and/or related industry qualification (ICA, ACAMS) </li> <li> Team Player - collaborative but also able to work independently with minimal supervision </li> <li> Strong written and verbal communications skills </li> <li> Strong work ethics, striving for the success of a small team </li> <li> Ability to prioritise, meet deadlines and multitask in a fast-paced environment </li> <li> Excellent attention to detail combined with inherent ability to prioritise work </li> <li> Excellent interpersonal skills, working well with others and diverse groups / personalities </li> <li> Adaptable to change and willing to work in a fast-paced environment with a positive approach </li> </ul> <div> </div> ","Work_Experience":"Associate","

Senior Compliance Officer

<div>
 
 Key Responsibilities:
 
 
 <ul>
 <li>
 Assist in Communications Surveillance of office staff, escalating all related issues with the Head of Compliance;
 
 </li>
 <li>
 Assist in completing daily transaction monitoring reviews against market abuse, escalating all related issues to protect the business;
 
 </li>
 <li>
 Conduct regular trade reviews and reconstructions, escalating all related issues to the Head of Compliance;
 
 </li>
 <li>
 Collaborate with different company departments to monitor enforcement of standards and regulations;
 
 </li>
 <li>
 Assist in preparing reports/ requests for senior management and external regulatory bodies as appropriate;
 
 </li>
 <li>
 Manage and co-ordinate the on-boarding process seamlessly for the client from start to finish to ensure a smooth transition from onboarding client to active client;
 
 </li>
 <li>
 Communicate efficiently with the respective client and/or broker to gather all necessary information;
 
 </li>
 <li>
 Responsible for coordinating all KYC documentation request and adopting a right first time approach to avoid multiple queries;
 
 </li>
 <li>
 Responsible for ensuring all client documentation is handled and filed appropriately in line with our policies;
 
 </li>
 <li>
 Provide regular, timely progress updates to both the Compliance Manager and Brokers, in both written and verbal formats;
 
 </li>
 <li>
 Responsible for liaising with internal and external stakeholders to ensure timely resolution to issues that arise during the course of on-boarding;
 
 </li>
 <li>
 Perform AML/KYC due diligence client reviews on corporate clients with different legal structures and in various jurisdictions to ensure the firm&rsquo;s AML &amp; KYC requirements are met;
 
 </li>
 <li>
 Identify, review and disposition of all PEP&rsquo;s, Sanctions and Adverse media at onboarding stage assessing the risks posed to the firm;
 
 </li>
 <li>
 Classify clients from a risk and regulatory perspective;
 
 </li>
 <li>
 Investigate and escalate all suspicious activity and financial crime (AML &amp; Fraud) related issues with relevant proposals to protect the business;
 
 </li>
 <li>
 Conduct periodic reviews and refresh KYC documents of existing client in accordance with their risk banding;
 
 </li>
 <li>
 Review onboarding accounts as required;
 
 </li>
 <li>
 Effectively manage KYC inbox; ensuring all emails are responded to;
 
 </li>
 <li>
 Ensure that all queries are answered promptly and in full;
 
 </li>
 <li>
 Ensure that all processes are followed, and trackers are updated accurately;
 
 </li>
 <li>
 Maintain PAD, Conflicts of Interest, PEP, Sanctions and adverse media lists and Compliance Register;
 
 </li>
 <li>
 Work on special projects and assists with ad hoc projects as required;
 
 </li>
 <li>
 Monitor any material changes that may impact the risk status of client files;
 
 </li>
 <li>
 Perform any other reasonable duties the company may require
 
 
 
 
 </li>
 </ul>
 Requirements
 
 
 <ul>
 <li>
 Previous Compliance experience either in commodity markets or communications surveillance &amp; market abuse
 
 </li>
 <li>
 Demonstrate knowledge of Compliance laws, rules, regulations, risks and typologies with emphasis on Money Laundering &amp; MAS regulations
 
 </li>
 <li>
 Experience of using approved KYC vendor sources e.g. Orbis, Corporate Registries, and others
 
 </li>
 <li>
 Possess good knowledge of onboarding process from start to finish, such as KYC/client risk rating, suspicious activity reporting, client screening/sanctions requirements, and risk assessment
 
 </li>
 <li>
 Knowledge of High risk indicators and revision of complex structures and entity types including Trusts, Funds overseas jurisdictions (BVI, Channel Islands, Cayman Islands etc)
 
 </li>
 <li>
 Possess some knowledge of regulatory requirements in other jurisdictions i.e. Singapore
 
 </li>
 <li>
 Educated to degree level in a related subject matter and/or related industry qualification (ICA, ACAMS)
 
 </li>
 <li>
 Team Player - collaborative but also able to work independently with minimal supervision
 
 </li>
 <li>
 Strong written and verbal communications skills
 
 </li>
 <li>
 Strong work ethics, striving for the success of a small team
 
 </li>
 <li>
 Ability to prioritise, meet deadlines and multitask in a fast-paced environment
 
 </li>
 <li>
 Excellent attention to detail combined with inherent ability to prioritise work
 
 </li>
 <li>
 Excellent interpersonal skills, working well with others and diverse groups / personalities
 
 </li>
 <li>
 Adaptable to change and willing to work in a fast-paced environment with a positive approach
 
 
 
 
 </li>
 </ul>
</div>

Senior Compliance Officer (Dubai)

Friends Guide Travel & Tourism LLC

The Compliance Officer will oversee all compliance, legal, and regulatory functions within the owner association company &mdash; ensuring adherence to UAE real estate laws, RERA and DLD regulations, and internal governance frameworks. The ideal candidate will implement best practices, train teams, and serve as the company&rsquo;s point of contact with regulators.Key ResponsibilitiesRegulatory &amp; Legal Compliance<ul><li>Ensure company operations comply with RERA, DLD, MOE.</li><li>Develop and maintain compliance policies, procedures, and manuals.</li><li>Keep up-to-date with changes in UAE real estate laws.</li></ul>KYC<ul><li>Conduct Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) for clients and transactions.</li><li>Maintain all compliance documentation and risk registers.</li></ul>Internal Controls &amp; Audits<ul><li>Conduct periodic compliance audits and gap analyses.</li><li>Oversee employee and agent licensing, documentation, and policy adherence.</li><li>Ensure all marketing and property listings have Trakheesi permits and meet RERA advertising standards.</li></ul>Training &amp; Awareness<ul><li>Promote a culture of compliance and ethical conduct across the organization.</li></ul>Reporting &amp; Liaison<ul><li>Prepare compliance reports for senior management and regulatory bodies.</li><li>Liaise with regulators (RERA, DLD, MOE, FIU) during inspections or audits.</li></ul>Requirements<ul><li>Bachelor&rsquo;s degree in Law, Business, Finance, or related field.</li><li>Minimum 3+ years&rsquo; experience in compliance, legal ideally in real estate, property management, or DNFBP sector.</li><li>Strong knowledge of UAE Real Estate Law, RERA/DLD frameworks, and licensing procedures.</li><li>Excellent communication and analytical skills.</li><li>High level of integrity, discretion, and attention to detail.</li></ul>Benefits<ul><li>Competitive salary and performance-based bonus</li><li>Health insurance</li><li>Annual leave and visa sponsorship</li><li>Opportunity to grow within a reputable Dubai real estate firm</li></ul>Job Type: Full-timePay: AED5,000.00 - AED6,000.00 per monthExperience:<ul><li>Owner Association: 3 years (Required)</li></ul>Language:<ul><li>Arabic (Required)</li></ul>

Compliance Officer

Conares

<div>We are seeking a highly detail-oriented and knowledgeable Compliance Officer to join our team at Conares. In this role, you will be responsible for ensuring that our company adheres to legal standards and internal policies while actively promoting a culture of compliance and ethical behavior. You will work closely with various departments to assess risks, develop compliance processes, and conduct audits and training.<ul>
<li>
Responsibilities:</li>
<li><ul><li>Develop, implement, and maintain compliance policies and procedures to ensure regulatory adherence.</li>
<li>Conduct regular internal audits and assessments to evaluate the effectiveness of compliance efforts.</li>
<li>Monitor changes in regulations and best practices, ensuring the company is informed and compliant.</li>
<li>Provide training and guidance to employees on compliance-related topics.</li>
<li>Investigate compliance incidents and coordinate with management to develop action plans.</li>
<li>Work with legal teams and external auditors to ensure compliance with relevant laws and regulations.</li>
<li>Prepare compliance reports for management and regulatory agencies as needed.</li>
</ul></li>
</ul>Requirements<ul>
<li>
Bachelor's degree in related field.</li>
<li>2-4 years of experience in compliance, risk management, or a related role.</li>
<li>Strong understanding of regulatory requirements and compliance best practices.</li>
<li>Excellent analytical and problem-solving skills.</li>
<li>Effective communication and interpersonal skills, with the ability to work collaboratively.</li>
<li>Detail-oriented, organized, and capable of managing multiple priorities.</li>
<li>Proficiency with compliance and auditing software and MS Office applications.</li></ul></div>

We are seeking a highly detail-oriented and knowledgeable Compliance Officer to join our team at Conares. In this role, you will be responsible for ensuring that our company adheres to legal standards and internal policies while actively promoting a culture of compliance and ethical behavior. You will work closely with various departments to assess risks, develop compliance processes, and conduct audits and training./p&gt; <ul> <li>Responsibilities:</li> <ul> <li>Develop, implement, and maintain compliance policies and procedures to ensure regulatory adherence.</li> <li>Conduct regular internal audits and assessments to evaluate the effectiveness of compliance efforts.</li> <li>Monitor changes in regulations and best practices, ensuring the company is informed and compliant.</li> <li>Provide training and guidance to employees on compliance-related topics.</li> <li>Investigate compliance incidents and coordinate with management to develop action plans.</li> <li>Work with legal teams and external auditors to ensure compliance with relevant laws and regulations.</li> <li>Prepare compliance reports for management and regulatory agencies as needed.</li> </ul> </ul> <ul> <li>Bachelor's degree in related field.</li> <li>2-4 years of experience in compliance, risk management, or a related role.</li> <li>Strong understanding of regulatory requirements and compliance best practices.</li> <li>Excellent analytical and problem-solving skills.</li> <li>Effective communication and interpersonal skills, with the ability to work collaboratively.</li> <li>Detail-oriented, organized, and capable of managing multiple priorities.</li> <li>Proficiency with compliance and auditing software and MS Office applications.</li> </ul>

Daman Investments

<div>
 
 Daman Investments are currently recruiting for a seasoned Compliance Officer to join their team in Dubai.
 
 
 
 
 
 
 
 Overview
 
 
 
 
 The Compliance Officer assists the organisation manage risks and avoid liability by ensuring business operations are performed in compliance with all laws and regulations. This job develops company policies, creating metrics to help track compliance and performs compliance audits. Furthermore, the job role conducts enforcement services to ensure adherence to set improvement and internal company policies, regulations, and procedures in line with the law and regulations.
 
 
 
 
 
 
 
 Key Duties &amp; Responsibilities
 
 
 
 <ul>
 <li>
 Create compliance policies and protocols on behalf of the organisation.
 </li>
 <li>
 Determine compliance metrics and establish a system for tracking them.
 </li>
 <li>
 Sign off on any marketing and advertising collateral to ensure it is compliance.
 </li>
 <li>
 Remain up to date on all regulations and laws related to the organisation and update policies accordingly.
 </li>
 <li>
 Perform compliance audits to determine whether establish protocols are being followed and where they can be improved.
 </li>
 <li>
 Maintain up to date written documentation and policies related to the organisation's business activities.
 </li>
 <li>
 Create compliance resource library for staff members to reference when they have questions.
 </li>
 <li>
 Create sound internal controls and monitor adherence to them.
 </li>
 <li>
 Draft and revise company policies.
 </li>
 <li>
 Evaluate business activities to assess compliance risk.
 </li>
 <li>
 Collaborate with external auditors and other stakeholders when needed.
 </li>
 <li>
 Set plans to manage a crisis or compliance violation.
 </li>
 <li>
 Educate and train employees on regulations and industry practices.
 </li>
 <li>
 Address employee concerns or questions on legal compliance.
 </li>
 <li>
 Keep abreast of internal standards and business goals.
 </li>
 <li>
 Monitor all operational processes or procedures using a compliance management system to ensure that the company adheres to all legal regulations and ethical standards.
 </li>
 <li>
 Manage the way information flows by researching, recording, and assessing data and information and conducting compliance risk assessment.
 </li>
 <li>
 Train and educate other employees so that they are updated on any legal change to compliance guidelines.
 </li>
 <li>
 Resolve the company&rsquo;s concerns about legal compliance.
 </li>
 <li>
 Participate in seminars conferences, and workshops to improve job knowledge.
 </li>
 <li>
 Perform various general administrative duties such as file creation and maintenance of ongoing administrative projects.
 </li>
 <li>
 Collaborate with other departments to create a culture of compliance.
 </li>
 <li>
 Uphold company values throughout business practices and use 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
 
 
 
 <ul>
 <li>
 A minimum of 5+ years in related field.
 </li>
 <li>
 Full and practical knowledge of the regulations and policies of the UAE Securities and Communities (SCA is fundamental).
 </li>
 <li>
 Authority and the UAE related laws.
 </li>
 <li>
 Proven experience in risk management or compliance roles.
 </li>
 <li>
 Proven knowledge of industry best practices and cross-border transactions.
 </li>
 </ul>
 
 
 
 
 
 
 Educational Qualifications
 
 
 
 <ul>
 <li>
 Relevant bachelor&rsquo;s degree in related field.
 </li>
 </ul>
 
 
 
 
 *Arabic Language Capabilities are essential for this position.
 
 
 
</div>

Compliance Officer (Arabic Speaking)

J. Awan & Partners

Job Title: Manager / Senior Manager Compliance (KSA Clients) Reports to: Director of Compliance. Direct Reports: N/A Location: Dubai (with the expectation to travel as necessary to other operating jurisdictions). About J. Awan &amp; Partners At j. awan &amp; partners, we believe in challenging the status quo every day, delivering seamless excellence to our customers across the world. We challenge the status quo by making tailor-made solutions to meet the specific requirements of our client s business interests and delivering our solutions to their needs with effective simplicity. We understand that time is precious and as such our tailor-made solutions are simple to understand, simple to embed and simple to use. We are a fast-growing international Governance, Risk and Compliance (GRC) Consultancy with our headquarters in the Dubai International Finance Centre (DIFC). We also have our own Technology company creating bespoke innovative RegTech solutions. Our business presence covers multiple jurisdictions with offices in the UAE, KSA, UK &amp; Ireland, Singapore, Pakistan, Porto and Qatar. We provide Regulatory Governance, Risk, Compliance, Finance, Recruitment and Technology services (the Services ) to a large number of clients including global, regional, and local financial services institutions, governments, and other industry partners. As part of our global expansion plan, we are now looking for an ambitious and agile leader with a strong background in compliance to join our team supporting KSA based clients. Job Purpose You will report to the Director of Compliance and be responsible for managing a portfolio of KSA based client mandates and assisting us to build and execute our growth plans. The role requires converting existing company relationships to business in the KSA and wider GCC region and supporting clients with structuring and executing industry leading regulatory compliance and anti-money laundering programs. Duties and Responsibilities for Compliance Officer &amp; MLRO (CMA) Regulatory Compliance: <ul> <li>Act as the primary point of contact with KSA regulatory bodies (CMA) and other relevant authorities.</li> <li>Monitor and interpret regulatory changes, ensuring ongoing compliance with KSA rules and CMA regulations.</li> <li>Develop, implement, and regularly update internal compliance manuals, policies, procedures, and controls in line with regulatory standards.</li> <li>Conduct periodic risk assessments to proactively identify compliance gaps and vulnerabilities.</li> <li>Provide accurate and timely compliance reporting to senior management and the CMA.</li> </ul> Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF): <ul> <li>Serve as the designated MLRO, overseeing the consultancy s AML/CTF framework.</li> <li>Implement robust AML/CTF controls, including client onboarding procedures, customer due diligence (CDD), enhanced due diligence (EDD), and ongoing monitoring.</li> <li>Investigate suspicious transactions and activities, submitting timely Suspicious Activity Reports (SARs) to the relevant authorities.</li> <li>Maintain thorough records of AML/CTF checks, compliance investigations, and SAR filings as per regulatory requirements.</li> </ul> Training and Awareness: <ul> <li>Develop and deliver regular compliance and AML/CTF training sessions for staff and management.</li> <li>Promote a strong culture of compliance and risk awareness within the consultancy.</li> <li>Provide guidance and support to colleagues on regulatory matters, AML/CTF obligations, and ethical conduct.</li> </ul> Audit and Monitoring: <ul> <li>Coordinate internal and external audits to ensure compliance with regulatory requirements and internal policies.</li> <li>Conduct regular compliance reviews and spot checks to validate adherence to established compliance procedures and controls.</li> <li>Identify weaknesses in internal controls and procedures, recommending effective remedial actions.</li> </ul> Advisory and Client Engagement: <ul> <li>Provide regulatory compliance advice and strategic consultancy services to clients, assisting them in navigating CMA regulatory requirements.</li> <li>Ensure compliance services offered to clients meet the highest regulatory standards and expectations.</li> <li>Review and assess client documentation and compliance programs to provide actionable insights and enhancements.</li> </ul> Documentation and Reporting: <ul> <li>Maintain comprehensive documentation of compliance activities, policies, assessments, and reporting to ensure audit-readiness at all times.</li> <li>Prepare accurate and timely regulatory filings and reports to CMA and other competent authorities.</li> </ul> Leadership and Communication: <ul> <li>Act as an influential member of the senior management team, effectively communicating compliance risks, obligations, and strategic initiatives.</li> <li>Foster strong relationships with internal stakeholders, external advisors, auditors, regulators, and clients, representing the consultancy with professionalism and integrity.</li> </ul> Continuous Improvement: <ul> <li>Stay abreast of industry developments, regulatory updates, and best practices in compliance and AML/CTF.</li> <li>Continuously refine and enhance compliance and AML systems, processes, and training programs to ensure excellence and innovation.</li> </ul> Skills and Experience j. awan &amp; partners seek a dynamic leader who is looking to take their career to the next level within a forward-thinking company with significant growth aspirations. A goal orientated, high achieving, motivational individual with a zest for life are the essential attributes for this role. At j. awan &amp; partners we believe in providing an environment where you can fully express your unique talents and we deliver unparallel learning and development opportunities for those who share our vision. <ul> </ul> Qualifications <ul> <li>Minimum bachelor s degree from a leading university with concentration preferably in law, finance, accounting, or economics.</li> <li>Candidates with CAMS, CISI or ICA certifications are highly desired.</li> <li>CME1, CME2 qualification preferred.</li></ul>

Manager / Senior Manager Compliance

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4052 senior compliance officer jobs IN Dubai

Senior Compliance Officer

Senior Compliance Officer (Dubai)

Compliance Officer

Compliance Officer

Compliance Officer

Compliance Officer (Arabic Speaking)

Manager / Senior Manager Compliance