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;
 
 </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>
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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;
 
 </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>
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 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>
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 Work on special projects and assists with ad hoc projects as required;
 
 </li>
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 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)
 
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 <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)
 
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 Team Player - collaborative but also able to work independently with minimal supervision
 
 </li>
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 Strong written and verbal communications skills
 
 </li>
 <li>
 Strong work ethics, striving for the success of a small team
 
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 <li>
 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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 <li>
 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
 
 
 
 
 </li>
 </ul>
</div>

Senior Compliance Officer (Dubai)

Deutsche Bank

<div><div><h1 class="jobSectionHeader">Team Lead - Senior Compliance Officer, VP
</h1><div><div><div><div><div>Job ID: R0407272 </div><div>Full/Part-Time: Full-time
</div></div> 
<div><div>Regular/Temporary: Regular </div><div>Listed: 2025-09-23
</div></div> 
<div><div>Location: Pune
</div></div> 
</div></div></div><h2 class="jobSectionHeader">Position Overview
</h2>Job Title: Team Lead - Senior Compliance Officer, VP
Location: Pune, India
Corporate Title: Vice President
Role Description
<ul><li>Today, markets face a whole new set of pressures &ndash; but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
</li><li>Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
</li><li>We&rsquo;re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That&rsquo;s why we are &lsquo;Investors for a new now&rsquo;.
</li><li>As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients&rsquo; financial future. And in return, we&rsquo;ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry&rsquo;s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.
</li></ul>Team / division overview
<ul><li>The Global Employee Compliance function is part of DWS AFC &amp; Compliance. In close collaboration with the global team, including Technology, we are further developing the newly established employee compliance function and safeguarding DWS from compliance issues in relation to personal account dealing, outside business interest, other investments as well as further inside information and conflicts of interest related topics.
</li></ul>What we&rsquo;ll offer you
As part of our flexible scheme, here are just some of the benefits that you&rsquo;ll enjoy
<ul><li>Best in class leave policy
</li><li>Gender neutral parental leaves
</li><li>100% reimbursement under childcare assistance benefit (gender neutral)
</li><li>Sponsorship for Industry relevant certifications and education
</li><li>Employee Assistance Program for you and your family members
</li><li>Comprehensive Hospitalization Insurance for you and your dependents
</li><li>Accident and Term life Insurance
</li><li>Complementary Health screening for 35 yrs. and above
</li></ul>Your key responsibilities
As a Global Senior Employee Compliance Officer you will be responsible for:
<ul><li>Leading and building up the local India Employee Compliance team.
</li><li>Acting as the local subject matter expert for Employee Compliance and Conflicts of Interest related topics. This includes inter alia employee personal account dealing, personal investments and outside business activities.
</li><li>Aligning closely with the other local divisional teams of DWS as well as with the Compliance teams in the other global locations to provide support for Employee Compliance, Licensing &amp; Registration and other Conflicts of Interest related topics.
</li><li>Enhancing Employee Compliance processes and applications.
</li></ul>Your skills and experience
<ul><li>Relevant experience within Compliance or Anti-Financial Crime related topics within a financial institution.
</li><li>Experienced in leading a team, ideally in building up a team.
</li><li>Strong team player, with proven ability to work in a global team and drive results both collaboratively and independently
</li><li>Strong analytical and communication skills
</li><li>Educated to degree level or with relevant industry experience
</li><li>Business fluent in written and spoken English, German language skills helpful but not mandatory
</li></ul>How we&rsquo;ll support you
<ul><li>Training and development to help you excel in your career
</li><li>Coaching and support from experts in your team
</li><li>A culture of continuous learning to aid progression
</li><li>A range of flexible benefits that you can tailor to suit your needs
</li></ul>About us and our teams
Please visit our company website for further information:
https://www.db.com/company/company.html
We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.
 
Together we share and celebrate the successes of our people. Together we are Deutsche Bank Group.
 
We welcome applications from all people and promote a positive, fair and inclusive work environment.</div></div>

Team Lead - Senior Compliance Officer, VP

Syncom Technology Limited

Chief Compliance Officer &ndash; Dubai (On-site)Location: Dubai, UAE Job Type: Full-time, On-site Compensation: Competitive salary packageWe are seeking an experienced and dynamic Chief Compliance Officer (CCO) to join our team in Dubai. The ideal candidate will be responsible for ensuring the company&rsquo;s operations fully comply with all relevant legal, regulatory, and internal policies. This is a senior leadership role, directly advising management and the board on compliance and risk-related matters.Key Responsibilities<ul><li>Regulatory Compliance:</li><li>Develop, implement, and maintain compliance policies, procedures, and frameworks in alignment with FCA (UK), FINTRAC (Canada), UAE Central Bank and other applicable regulations.</li><li>Stay up-to-date with local and international regulatory changes and ensure the company remains compliant at all times.</li><li>Risk Management:</li><li>Identify, assess, and monitor compliance and financial crime risks.</li><li>Oversee AML/CFT (Anti-Money Laundering/Combating the Financing of Terrorism) policies and procedures.</li><li>Conduct risk assessments and provide recommendations for mitigating identified risks.</li><li>Governance &amp; Reporting:</li><li>Report directly to the Board of Directors and senior management on compliance status and emerging issues.</li><li>Ensure timely submission of regulatory reports to authorities.</li><li>Act as the primary liaison with regulators, auditors, and external stakeholders.</li><li>Training &amp; Awareness:</li><li>Design and deliver compliance training programs across the organization.</li><li>Promote a strong culture of compliance and ethical conduct.</li><li>Monitoring &amp; Investigation:</li><li>Oversee ongoing monitoring of business activities and transactions.</li><li>Lead internal investigations related to compliance breaches, misconduct, or regulatory violations.</li><li>Leadership:</li><li>Manage and mentor the compliance team.</li><li>Collaborate with internal departments to embed compliance best practices into daily operations.</li></ul>Qualifications &amp; Experience<ul><li>Proven experience in a senior compliance leadership role within the financial services, payments, or fintech sector.</li><li>Strong knowledge of UAE financial regulations, AML/CFT frameworks, and global compliance standards.</li><li>Ability to engage with regulators and stakeholders at a senior level.</li><li>Exceptional communication, analytical, and leadership skills.</li><li>Bachelor&rsquo;s degree in Law, Finance, Business, or a related field (Master&rsquo;s or compliance certifications such as CAMS/ICA preferred).</li></ul>What We Offer<ul><li>A challenging and rewarding leadership role in a fast-growing financial services company.</li><li>Competitive salary and benefits package.</li><li>The opportunity to shape the compliance framework of a forward-looking organization.</li><li>On-site work environment in the heart of Dubai.</li></ul>How to Apply: Please submit your application along with your CV. Shortlisted candidates will be contacted for further steps.Job Type: Full-timePay: AED18,000.00 - AED25,000.00 per month

Chief Compliance Officer

Jex Recruitment | Connecting top talent with leading companies

<div>
 
 Job Title: Chief Compliance Officer (CCO)
 
 
 Location: UAE
 
 
 Industry: Financial Services
 
 
 
 
 
 Job Purpose:
 
 
 The Chief Compliance Officer (CCO) is responsible for leading the bank&rsquo;s compliance program to ensure adherence to regulatory requirements, internal policies, and ethical standards. The CCO provides strategic guidance to the Board and senior management on compliance risks, fosters a culture of integrity, and ensures the bank maintains the highest standards of regulatory compliance across all business activities.
 
 
 
 
 
 Key Requirements:
 
 
 
 Qualifications &amp; Experience
 
 
 <ul>
 <li>
 Bachelor&rsquo;s or Master&rsquo;s degree in Law, Finance, Business, or related field (advanced degree preferred).
 </li>
 <li>
 Minimum
 
 12&ndash;15 years of progressive experience
 
 in banking compliance, risk management, or regulatory roles.
 </li>
 <li>
 Strong knowledge of banking regulations (Basel, AML/CFT laws, GDPR/Data Privacy, local central bank requirements, FATF, etc.).
 </li>
 <li>
 Experience managing regulatory audits and relationships with regulators.
 </li>
 <li>
 Proven leadership skills with the ability to influence and collaborate at the Board and executive levels.
 </li>
 <li>
 Certifications such as
 
 CAMS, CCO, CCOB, CRCM, or ICA
 
 highly desirable.
 </li>
 </ul>
 
 
</div>

Renaissance Investment

A SEBI-registered Asset management company (AMC) managing a diverse portfolio of mutual fund schemes with a strong commitment to integrity, transparency, and regulatory excellence. As we scale our operations, we seek a detail-oriented and proactive Company Secretary &amp; Compliance Officer to strengthen our governance framework and ensure adherence to all applicable laws and regulations.Role OverviewThe Company Secretary &amp; Compliance Officer will serve as the key advisor on corporate governance, statutory compliance, and regulatory matters. This dual-role position combines the responsibilities of a Company Secretary under the Companies Act, 2013, and a Compliance Officer under SEBI (Mutual Funds) Regulations, 1996. The ideal candidate will ensure seamless coordination between the Board, regulators, and internal stakeholders while maintaining the highest standards of compliance and ethical conduct.Key ResponsibilitiesCorporate Governance &amp; Secretarial Functions:<ul><li>Act as the nodal officer for all matters .</li><li>Organize and manage end-to-end processes for Board and Committee meetings (Audit, Risk, Nomination &amp; Remuneration, etc.), including agenda preparation, minutes drafting, and follow-up on action items.</li><li>Maintain statutory registers, records, and corporate documentation in compliance with legal requirements.</li><li>Advise the Board and senior management on governance best practices, director responsibilities, and related-party transaction approvals.</li><li>Conduct secretarial audits and coordinate with external auditors/regulators as needed.</li></ul>Regulatory Compliance &amp; Risk Oversight:<ul><li>Serve as the designated Compliance Officer for the AMC under SEBI Mutual Fund Regulations.</li><li>Monitor, interpret, and implement changes in regulations issued by SEBI, RBI, MCA, FEMA, and other relevant authorities.</li><li>Develop, update, and enforce internal compliance policies, manuals, and training programs.</li><li>File periodic returns and disclosures with SEBI, AMFI, and other regulators.</li><li>Coordinate with internal audit, legal, and risk teams to address compliance gaps and mitigate regulatory risks.</li><li>Act as the primary liaison with SEBI, stock exchanges, depositories, and other regulatory bodies.</li></ul>Stakeholder Coordination:<ul><li>Interface with Registrar &amp; Transfer Agents (RTAs), custodians, trustees, and third-party service providers on compliance and governance matters.</li><li>Support investor grievance redressal mechanisms in coordination with the Investor Services team.</li></ul>Qualifications &amp; Experience<ul><li>Mandatory: Associate or Fellow Member of the Institute of Company Secretaries of India (ICSI).</li><li>Experience: Minimum 5 years of post-qualification experience in a regulated financial entity&mdash;preferably an asset management company, mutual fund, broking house, NBFC, bank, or similar institution.</li><li>Regulatory Knowledge: In-depth understanding of SEBI (Mutual Funds) Regulations, Companies Act, 2013, LODR, FEMA, Prevention of Money Laundering Act (PMLA), and RBI guidelines (as applicable).</li><li>Skills: Strong drafting, analytical, and communication abilities; high integrity; ability to work independently in a fast-paced environment.</li><li>Location: Must be based in Mumbai or willing to relocate immediately.</li></ul>Preferred Attributes<ul><li>Prior experience as a Compliance Officer in a SEBI-registered intermediary.</li><li>Familiarity with AMFI guidelines and mutual fund operations.</li><li>Knowledge of compliance management systems or GRC tools.</li></ul>What We Offer<ul><li>Competitive compensation package aligned with industry standards.</li><li>Opportunity to work at the intersection of governance and financial markets in a dynamic AMC.</li><li>Professional growth in a values-driven organization committed to excellence.</li></ul>Job Type: Full-timePay: &#8377;1,800,000.00 - &#8377;2,500,000.00 per yearBenefits:<ul><li>Health insurance</li></ul>Application Question(s):<ul><li>What is your Notice period ?</li></ul>Work Location: In person

Company Secretary & Compliance Officer (Asset Management Company)

KeyBank

Location: 
4910 Tiedeman Road, Brooklyn Ohio
 
About the Job
 
The Senior Compliance Officer – Special Projects Review Team (SPRT) role reports to KeyBank’s Financial Crimes Risk Management’s (FCRM) Special Projects Compliance Director. The Senior Compliance Officer – SPRT role ensures Key’s compliance with Bank Secrecy Act / Anti-Money Laundering (BSA/AML) and other financial crime regulations, as well as OFAC / Sanctions / Export Controls, through work on special risk projects, as requested by Key’s Chief AML Officer (CAMLO) / FCRM Leadership, Key Executive Leadership, Key Legal, or Key Risk Review Group (Audit). This role requires excellent people / communication / listening skills and intellectual curiosity, paired with a strong combination of (1) a solid working knowledge of BSA/AML, general financial crimes, and OFAC / Sanctions / Export Controls, (2) regulatory expectations, and (3) law enforcement needs.
 
Essential Job Functions
 The Senior Compliance Officer – SPRT role is responsible for assisting on projects complex in nature or requiring additional assistance, that may benefit from additional subject matter expertise, line of business outreach, and/or leveraging existing federal law enforcement contacts, while conducting holistic reviews of situations that may involve a:
 Significant geo-political macro event affecting the financial sector; or
 Significant amount of customers, accounts, or account activity; or
 Significant loss event to Key; or
 Potential criminal conspiracy; or
 Potential national security issue; or
 Potential regulatory infraction; or
 Any emerging risk topics; or
 Any other high profile, sensitive, and/or reputational risk situation, as deemed relevant by management above.
 
In addition, on topics above, the Senior Compliance Officer – SPRT role will provide guidance, Compliance oversight, and Quality Assurance reviews on SAR filings on the topics above. Using lessons learned, this role will also conduct a post-incident review of similarly situated customers to ensure no additional risk exposure within the bank, as well as provide post-incident training of lessons learned to affected parties within Key. Finally, this role would assist on any other special risk projects, as requested by Key Executive Leadership.
 
Among the other functions for this role are the following: 
Drive or participate as stakeholder or team member on projects/initiatives as warranted by scope.
 As appropriate, leverage background and subject matter expertise to participate in new business initiatives, new product development, and product analysis.
 Effectively and professionally interact with internal audit and/or regulatory agency personnel including answering examination information requests, addressing examination findings, and discussing compliance processes and policies.
 Keep management apprised and recognize when to escalate issues as needed.
 Promote a proactive compliance culture, delivering advice and guidance to the business/support functions.
 
Required Qualifications
 Minimum of 5 years of federal regulator, federal law enforcement / prosecutor, and/or US Intelligence Community experience with existing government contacts who can be leveraged, plus a minimum of 10 years of complex regulatory, compliance, investigative, law enforcement, or intelligence experience.
 A Bachelor’s Degree is required, with advanced degree(s) of JD or MBA desired.
 Exceptional people / communication / listening skills, and the ability to work across multiple departments and business units / entities to compile information and to ensure compliance requirements are understood and met.
 Strong knowledge of compliance, financial crime, and/or national security laws and regulations, including BSA/AML, financial crimes, and OFAC / Sanctions / Export Controls banking regulations, regulatory expectations, and law enforcement needs.
 Extensive financial crimes, national security, OFAC / Sanctions / Export Controls, geo-political, and/or cross-disciplinary experience.
 Complex project / case strategy, management, and documentation experience, while exercising discretion.
 Excellent critical thinking and risk-based decision-making skills, combined with intellectual curiosity.
 Superior analytical and investigative skills.
 Excellent writing and communication skills, and the ability to succinctly convey information to senior business and compliance management.
 Flexible, agile, and able to identify process improvement opportunities.
 Exceptional ability to support multiple programs in a fast-paced environment with changing priorities and significant time pressures.
 Strong attention to detail.
 High ethical standards.
 
Preferred Qualifications: 
Professional financial crime designations / certifications.
 
This role may be designated as remote. However, location is subject to change based on business needs. In markets where corporate office space exists, the role may transition to a hybrid or in-office arrangement. Candidates should be open to potential changes in work location.
 
COMPENSATION AND BENEFITS
 This position is eligible to earn a base salary in the range of $145,000 to $160,000 annually depending on location and job-related factors such as level of experience. Compensation for this role also includes eligibility for short-term incentive compensation and deferred incentive compensation subject to individual and company performance.
 
Please click here for a list of benefits for which this position is eligible.
 
Key has implemented an approach to employee workspaces which prioritizes in-office presence, while providing flexible options in circumstances where roles can be performed effectively in a mobile environment.
 
Job Posting Expiration Date: 10/19/2025
 
KeyCorp is an Equal Opportunity Employer committed to sustaining an inclusive culture. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.
 Qualified individuals with disabilities or disabled veterans who are unable or limited in their ability to apply on this site may request reasonable accommodations by emailing HR_Compliance@keybank.com.
 
#LI-Remote

Sr Compliance Officer - Special Projects Review Team

Ashish NX

Ashiesh Nx Pvt Ltd is hiring Compliance OfficerLocation: NagpurJob Type: Full-timeJob Description:We are seeking a detail-oriented and proactive Compliance Officer to ensure that our company&rsquo;s operations and business processes comply with all legal and regulatory requirements. The role will also support in maintaining statutory records, monitoring internal policies, and assisting with audits.Key Responsibilities:Ensure compliance with applicable laws, regulations, and company policies.Maintain statutory registers, records, and documentation.Assist in preparing compliance reports, filings, and returns (PF, ESIC, PT, LWF, Gratuity, etc.).Coordinate with government departments and regulatory authorities as required.Monitor changes in laws/regulations and update management accordingly.Support in internal/external audits and inspections.Develop and implement compliance checklists and processes to reduce risks.Requirements:Bachelor&rsquo;s degree in Commerce, Law, or HR.2&ndash;3 years of experience in compliance, payroll, or statutory management (freshers with strong knowledge may also apply).Good knowledge of labor laws, PF, ESIC, PT, LWF, and other statutory compliances.Strong attention to detail, organizational, and communication skills.Proficiency in MS Office (Excel, Word, PowerPoint).Apply:- Send Relevant resume only with subject Compliance OfficerMail id:- hr.manager@ashieshnx.com or WhatsApp on 9175966522Job Type: Full-timePay: &#8377;240,000.00 - &#8377;300,000.00 per yearWork Location: In person

Compliance Officer

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