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senior compliance officer

Freight Investor Services

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

Senior Compliance Officer (Dubai)

People Partners

<div>
 
 We are seeking an experienced and proactive
 
 Ethics and Compliance Officer
 
 to join our client's in-house compliance team. This role supports the development, implementation, and ongoing management of comprehensive compliance programs.
 
 
 
 
 
 Reporting to the Group Senior Compliance Officer, this position ensures adherence to all applicable laws, regulations, and internal policies. The successful candidate will work closely with internal stakeholders and subsidiary companies to shape and operationalize compliance strategies that align with corporate objectives and mitigate risks.
 
 
 
 
 
 
 Core Responsibilities
 
 
 <ul>
 <li>
 Support the Group Senior Compliance Officer in overseeing design, development, and monitoring of compliance programs addressing UAE and international legal requirements
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 Conduct horizon scanning and monitor regulatory changes, keeping leadership informed of compliance developments and risks
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 Perform regular risk assessments and recommend preventive actions to mitigate compliance risks
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 Support internal audits and investigations, ensuring appropriate corrective actions are implemented
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 Prepare compliance reports for senior management highlighting key risks and performance metrics
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 Collaborate with legal, IT, and business units to integrate compliance into operations
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 Develop and deliver compliance training programs across all organizational levels
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 Manage third-party compliance including vendor screening, due diligence, and ongoing monitoring
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 Build out compliance function with focus on Anti-Bribery and Corruption (ABC), sanctions compliance, data privacy, and corporate ethics
 </li>
 </ul>
 
 
 
 
 
 Required Qualifications
 
 
 <ul>
 <li>
 
 Bachelor's degree in business administration
 
 , Law, Finance, or related field
 </li>
 <li>
 
 8+ years of compliance experience
 
 in regulated industries with proven track record in compliance program development
 </li>
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 Thorough understanding of relevant laws, regulations, and industry standards
 </li>
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 Excellent analytical, communication, and interpersonal skills
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 High level of integrity with ability to work independently in fast-paced environments
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 Strong legal analysis, negotiation, and drafting abilities
 </li>
 </ul>
 
 
 
 
 This role offers the opportunity to advance your career with a regional industry leader while working at the forefront of compliance excellence in a dynamic, technology-driven environment across the Middle East and Africa.
 
</div>

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.
In line with the UAE Government&rsquo;s strategy in empowering and developing nationals, Emirates NBD is committed to welcoming the young generation into an innovative, modern and supportive work environment to contribute to the nation's success. We are looking to find the best UAEN talent to join our ENBD family. 
Job Overview:
As a Compliance Officer at Emirates NBD, your role is to support the Regulatory Compliance Unit to set out and advise on the relevant regulatory requirements and expectations that the Bank must comply with and to provide regulatory and process related guidance pertaining to NPPAs to the respective business units as and when required; maintain the repository of regulatory notices, and advisory tracker. 
Key Responsibilities:
 <ul><li>Maintain and update Regulatory Advisory tracker.
</li><li>Provide timely reviews and advice on regulatory compliance related matters in consultation with Manager/ Senior Manager Regulatory Advisory.
</li><li>Revert to respective business with regards to regulatory concerns/ queries.
</li><li>Raise any concerns or observations to the Manager - Regulatory Compliance to escalate proactive decision making at a senior level.
</li><li>Provide English translation for documents received in Arabic from the regulators.
</li><li>Timely dissemination of all regulatory comms within a 24-hour TAT
</li><li>Manage the NPPA Tracker
</li>Take initiative to highlight potential concerns, whilst suggesting potential solutions. 
<li>
</li></ul>Skills and Experience:
<ul><li>Bachelors Degree
</li><li>At least 2-3 years in a compliance / advisory role
</li><li>Previous experience in banking/regulatory environment
</li><li>Good understanding of CBUAE &amp; SCA Regulations
</li><li>Strong understanding of Banking and related products.
</li><li>Problem Solving.
</li><li>Good written and oral skills
</li><li>Ability to communicate at all levels of management</li></ul></div>

Compliance Officer (UAE National)

Sukoon Insurance

<div>
 
 Key Accountabilities:
 
 
 The Compliance Officer will be responsible for ensuring the company&rsquo;s operations adhere to applicable laws, regulations, and industry standards in the UAE insurance sector. This role includes overseeing compliance programs, conducting risk assessments, managing regulatory reporting, and fostering a culture of compliance within the organization.
 
 
 
 
 
 Key Accountabilities:
 
 
 
 Regulatory Compliance:
 
 
 
 Ensure compliance with UAE applicable laws and regulations including but not limited to Central Bank, Dubai Health Authority, Department of Health, Dubai Financial Service Authority etc.
 
 
 Monitor changes in legislation and regulatory requirements and update company policies accordingly.
 
 
 Serve as the primary point of contact with regulatory authorities for audits, inspections, and correspondence.
 
 
 Develop a compliance Calendar for the company and related subsidiaries and ensure all the regulatory reporting are submitted on time and as planned
 
 
 
 
 
 
 Compliance Program Development:
 
 
 
 Develop, implement, and maintain a robust compliance framework tailored to the insurance industry.
 
 
 Conduct regular reviews and updates to policies, procedures, and internal controls to ensure compliance.
 
 
 Manage training programs for employees on compliance standards and regulatory requirements.
 
 
 
 
 
 
 Risk Assessment and Mitigation:
 
 
 
 Identify, assess, and manage compliance risks within the organization.
 
 
 Conduct internal compliance audits and ensure timely resolution of identified issues.
 
 
 Collaborate with other departments to address compliance gaps and enhance risk mitigation strategies.
 
 
 
 
 
 
 AML/CFT Compliance:
 
 
 
 Oversee the Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT)framework in line with UAE laws and regulations.
 
 
 Perform customer due diligence (CDD) and enhanced due diligence (EDD) reviews, and ensure proper recordkeeping.
 
 
 Assist in conducting Enhanced Due diligence for high risk customers and/or transactions
 
 
 Assist in clearing potential matches identified through daily screening
 
 
 Submit suspicious transaction reports (STRs) to the Financial Intelligence Unit (FIU)when necessary.
 
 
 
 
 
 
 Regulatory Reporting:
 
 
 
 Prepare and submit required regulatory reports to relevant authorities within specified deadlines.
 
 
 Ensure accurate and timely reporting of breaches, incidents, or material non-compliance issues.
 
 
 Respond to the regulatory requests with the agreed TAT and in line with the internal procedures
 
 
 Develop and maintain strong and transparent relationship with the regulators.
 
 
 
 
 
 
 Stakeholder Collaboration:
 
 
 
 Liaise with internal stakeholders, including legal, finance, and operations teams, to ensure alignment on compliance matters.
 
 
 Collaborate with other departments (Claims/Underwriting/Operations/ Risk Management/Internal Audit/etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
 
 
 Provide Compliance advise for the business within the agreed TAT
 
 
 Provide guidance to the management team on regulatory risks and compliance strategies.
 
 
 
 
 
 
 Monitoring and Testing:
 
 
 
 Develop and execute compliance monitoring and testing programs to verify adherence to policies and regulatory requirements.
 
 
 Assist in conducting Gap Analysis for existing and upcoming regulations
 
 
 Maintain detailed records of compliance activities and prepare periodic reports for senior management.
 
 
 
 
 
 Requirements:
 
 
 Bachelor&rsquo;s degree in Finance/Accounts/Law/Audit.
 
 
 3-5 relevant compliance experience in a Financial Institution preferably in insurance
 
 
 Arabic is a plus
 
</div>

RTC-1 Employment Services

The Role
 Position Title: Compliance Officer Employment Type: Full Time Salary: up to 5K AED all-inclusive depending on experience and qualifications Job Location: Dubai, UAE About the Client: A leading Dubai-based automotive services provider, delivering roadside assistance, car registration, replacement vehicles, logistics, and international driving permits since 2003. • Monitor day-to-day operations to ensure compliance with UAE laws, company policies, and industry regulations. • Maintain and update compliance records, reports, and documentation for audits and inspections. • Assist in reviewing contracts, internal procedures, and employee practices to ensure alignment with regulatory standards. • Support management in implementing compliance training, awareness, and reporting of potential risks or breaches.
 
Requirements
 <ul>
<li>Open to Asian nationals, 38 years old and below • Bachelor’s degree in Business Administration, Finance, or related field. • Minimum 2 years’ experience in compliance, audit, or administrative roles in the UAE. • Must have a strong understanding of UAE labor law and basic regulatory requirements.</li>
</ul>
About the company
 RTC-1 Employment Services is a licensed recruitment firm based in Dubai, UAE. Our team has been in the market since 2004 and we are supporting various industries with their staffing needs across the Middle East and Africa.

Monarch Solicitors

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

Arch Law Ltd

Job Title: Junior Compliance Associate Location: Dubai Reports To: Compliance ManagerSalary: AED 150,000 to AED 170,000Role OverviewWe are looking for a proactive and detail-oriented Junior Compliance Associate to support our Risk &amp; Compliance operations across all of our current and future locations. This is an excellent opportunity for someone looking to develop a career in legal compliance within an international and dynamic legal business. Reporting directly to the Compliance Manager in Dubai, the role offers hands-on experience in maintaining regulatory standards, implementing compliance solutions, and ensuring best practices across the business.Key Responsibilities<ul><li>Assist the Compliance Manager in implementing and monitoring firm-wide risk and compliance policies.</li><li>Support day-to-day compliance checks and procedures for client onboarding, including the use of Legl and Armalytix tools.</li><li>Help ensure that all matter-level risk assessments are completed, documented, and appropriately signed off.</li><li>Maintain records and documentation to support regulatory audits and visits.</li><li>Conduct basic research and assist in updating internal guidance based on SRA standards and other applicable regulatory frameworks.</li><li>Coordinate with members and other teams to help maintain compliance logs, registers, and reports.</li><li>Assist with training logistics, policy rollouts, and internal communications related to risk and compliance.</li><li>Provide administrative support for regulatory inquiries and internal audit processes.</li></ul>Key Requirements<ul><li>Previous experience in a compliance, legal admin, or professional services support role is preferred.</li><li>Familiarity with UK. Dubai or Australia legal regulatory environments is advantageous; willingness to learn is essential.</li><li>Strong attention to detail and the ability to handle confidential information with discretion.</li><li>Good written and verbal communication skills.</li><li>Organised, with the ability to prioritise tasks and work under guidance in a structured environment.</li><li>Proficiency with MS Office; experience with compliance platforms (e.g. Legl, Armalytix) is a plus.</li><li>A keen interest in risk, regulation, and legal operations.</li></ul>Desirable Qualifications<ul><li>Degree or coursework in law, business, compliance, or a related field.</li><li>Professional compliance or legal support certifications (e.g. ICA, CILEX) are a plus but not required.</li></ul>Job Type: Full-timePay: AED150,000.00 - AED170,000.00 per year

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