senior compliance officer

Tabby

<div><div><div><div><div>The Senior Compliance Officer will support the Compliance Manager in ensuring that Tabby complies with all applicable regulatory and legal requirements, as well as internal policies and procedures. The role will assist in the ongoing implementation and maintenance of the compliance and AML/CFT frameworks, contribute to monitoring activities, support regulatory filings, and help drive awareness of compliance obligations across the business.</div><div>
This is a hands-on role suitable for an experienced compliance professional looking to deepen their expertise in a regulated financial services environment.</div><div> 
 
</div></div></div></div>Key Responsibilities
<div><div><div><div> 
1. Regulatory Compliance Support
</div><ul><li>Assist in monitoring and interpreting relevant laws, regulations, and regulatory guidance applicable to Tabby&rsquo;s operations.</li>
<li>Support the preparation of regulatory filings, notifications, and responses to regulatory enquiries.</li>
<li>Assist in the assessment of the impact of regulatory changes and help coordinate appropriate responses.</li></ul><div> 
 
</div><div>2. AML/CFT Framework Support
</div><ul><li>Support the implementation and maintenance of Tabby&rsquo;s AML/CFT policies, procedures, and controls.</li>
<li>Assist with periodic risk assessments and reviews relating to money laundering, terrorist financing, and customer risk.</li>
<li>Perform customer due diligence (CDD) and enhanced due diligence (EDD) checks, escalating high-risk cases as appropriate.</li></ul><div> 
 
</div><div>3. Compliance Monitoring &amp; Reporting
</div><ul><li>Conduct regular monitoring activities to assess the effectiveness of compliance and AML/CFT controls.</li>
<li>Assist in the investigation of unusual or potentially suspicious activity, including preparing draft suspicious activity reports (SARs) for review by the MLRO.</li>
Help compile compliance reports and maintain relevant logs and registers (e.g. breaches, conflicts of interest, complaints). 
<li>
</li></ul><div>4. Policy &amp; Procedure Maintenance
</div><ul><li>Assist in maintaining the Compliance Manual and other compliance-related policies and procedures.</li>
<li>Support the documentation and periodic review of internal controls and processes.</li></ul><div> 
 
</div><div>5. Training &amp; Awareness
</div><ul><li>Help deliver periodic compliance and AML/CFT training sessions.</li>
Contribute to awareness initiatives to promote a strong compliance culture across the organisation. 
<li>
</li></ul><div>6. Advisory Support
</div><ul><li>Provide day-to-day support to business units by responding to compliance queries and offering guidance on internal requirements.</li>
Support the compliance review of new products, marketing materials, and customer journeys. 
<li>
</li></ul><div>7. Stakeholder Engagement
</div><ul><li>Liaise with internal teams (e.g. operations, product, risk) to ensure compliance is embedded in day-to-day activities.</li>
<li>Support the Compliance Manager in external engagements with regulators and auditors, where necessary.</li>
</ul></div></div></div>Skills, Knowledge &amp; Expertise
<div><div><div><ul><li>Bachelor&rsquo;s degree in Law, Finance, Business, or a related field.</li>
<li>3&ndash;5 years of experience in a compliance or AML/CFT role within financial services.</li>
<li>Strong knowledge of UAE regulatory requirements, including CBUAE regulations, is desirable.</li>
<li>Professional certifications (e.g. CAMS, ICA) are an advantage.</li>
<li>Strong analytical and problem-solving skills.</li>
<li>High attention to detail with the ability to manage multiple priorities.</li>
<li>Excellent communication skills, both written and verbal.</li>
<li>Team-oriented with a proactive and collaborative approach.</li></ul></div></div></div></div>

Senior Compliance Officer

Çalık Enerji

<div>
 
 We, as &Ccedil;al&inodot;k Enerji, offer the energy from nature to the people to build a better and sustainable future.
 
 
 Since its establishment in 1998, &Ccedil;al&inodot;k Enerji has become one of the world&rsquo;s leading energy companies, bringing the energy of nature to the service of people through successful projects conducted across a wide geographic area encompassing CIS countries, the Middle East, Central Asia, Africa and the Balkans in order to create a better and sustainable future.
 
 
 &Ccedil;al&inodot;k Enerji is operating in Poland, Hungary, Romania, Turkmenistan, Uzbekistan, Iraq and Senegal with its 3 fields of activity: EPC Contracting Operations, Distribution-Retail and Renewable Energy Investments.
 
 
 
 
 
 We are looking for a
 
 Senior Compliance Officer
 
 to be considered for our international projects.
 
 
 
 
 
 
 
 Qualifications
 
 
 
 
 
 
 <ul>
 <li>
 A bachelor&rsquo;s degree from a university in Law, Finance, Economics, Business Administration, or Engineering
 </li>
 <li>
 A minimum of 8 years of experience in compliance and risk analysis. This experience should be gained within multinational companies (preferably in the energy or construction sectors) and/or from reputable law firms specializing in energy/construction
 </li>
 <li>
 The role requires hands-on experience in key compliance areas, including international sanctions and trade embargoes, anti-bribery and anti-corruption (ABAC) regulations, data privacy and protection, and Know Your Customer (KYC) programs. Proven track record in team leadership and mentoring
 </li>
 <li>
 Exceptional written, oral, and presentation skills in both English and Turkish
 </li>
 <li>
 Ability to think strategically and develop long-term solutions for complex challenges
 </li>
 <li>
 Strong leadership skills with the ability to motivate and develop team members. Possessing excellent communication, presentation, and stakeholder management skills to build robust relationships
 </li>
 <li>
 A balanced and thoughtful approach to risk-taking
 </li>
 <li>
 Proven ability to effectively prioritize and manage tasks in a dynamic and fast-paced environment
 </li>
 <li>
 Ability to travel internationally as required
 </li>
 </ul>
 
 
 
 
 
 
 Key Responsibilities
 
 
 
 
 
 
 <ul>
 <li>
 Implement and monitor the effective application of &Ccedil;al&inodot;k Enerji&rsquo;s compliance policies and procedures related to privacy, anti-bribery, corruption, and whistleblowing. This includes conducting regular compliance risk assessments to ensure adherence and effectiveness.
 </li>
 <li>
 Drive and evaluate the efficacy of &Ccedil;al&inodot;k Enerji&rsquo;s overall compliance program. Identify its strengths and areas for improvement, then recommend and track the implementation of action plans collaboratively with business units.
 </li>
 <li>
 Ensure timely and appropriate implementation of policies, standards, and best practices, maintaining full compliance with all applicable regulations and &Ccedil;al&inodot;k Group standards.
 </li>
 <li>
 Oversee the deployment of comprehensive compliance training, awareness programs, and communication campaigns to all targeted audiences across the organization.
 </li>
 <li>
 Address and resolve complex compliance issues that could potentially have a significant impact on &Ccedil;al&inodot;k Group&rsquo;s reputation. This includes reporting potential violations of laws, regulations, rules, policies, and &Ccedil;al&inodot;k Enerji&rsquo;s internal procedures, as well as actively participating in related investigations.
 </li>
 <li>
 Contribute to the development and implementation of specific compliance programs tailored for countries where the projects will be executed.
 </li>
 <li>
 Foster strong collaboration with &Ccedil;al&inodot;k Holding&rsquo;s Legal and Compliance Department, all relevant business units, and external consultants. This partnership will focus on enhancing the compliance program, refining risk management strategies, transforming monitoring findings into actionable items with effective follow-up on corrective actions, identifying continuous improvement opportunities and potential vulnerabilities, and optimizing processes in alignment with &Ccedil;al&inodot;k Enerji's values and Code of Conduct.
 </li>
 <li>
 Acting as the Data Controller, with responsibility for ensuring compliance with the Personal Data Protection Law (KVKK) to guarantee the lawful processing and protection of personal data.
 </li>
 <li>
 Monitoring legislative and regulatory changes and ensuring timely internal communication within &Ccedil;al&inodot;k Enerji.
 </li>
 <li>
 Serving as the primary point of contact for all day-to-day inquiries from business units regarding compliance, ethics, and risk, and providing support for remediation efforts as needed.
 </li>
 </ul>
 
 
</div>

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>
 <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)

Unienrol Guru Tech Private Limited

Overview:The Risk and Compliance Officer will assist the Board and the Executive Team of Unienrol Guru in managing enterprise risks and monitoring compliance with applicable regulatory, legislative, and policy frameworks.Key Responsibilities:1. Risk Management:o Operationalise and maintain Unienrol Guru&rsquo;s risk management, critical incident, and business continuity frameworks and plans.o Ensure alignment of Unienrol Guru&rsquo;s governance, risk, compliance, and strategic objectives.o Identify and monitor emerging risks, including those related to academic programs, student support, and operational processes.o Assist managers in undertaking specific risk assessments.o Maintain the risk register and update the senior management on key risk areas.o Ensure risk controls and treatment plans are carried out effectively.2. Compliance Monitoring:o Develop, implement, and maintain Unienrol Guru&rsquo;s compliance framework, including the compliance register.o Monitor institutional compliance with the Higher Education Standards Framework (HESF), the National Code of Practice for Providers of Education and Training to Overseas Students 2018 (National Code), the Education Services for Overseas Students Act 2000 (ESOS Act), and the Australian Qualifications Framework (AQF).o Maintain up-to-date knowledge of legislative changes affecting the higher education sector.o Monitor compliance with the requirements of the Tertiary Education Quality and Standards Agency.o Provide advice on compliance risks and develop mitigation strategies to respond to specific compliance risks.3. Policies and Procedures:o Develop, implement, and regularly review risk and compliance policies and procedures to ensure they align with both institutional goals and external regulations.o Provide guidance to academic and administrative staff regarding policy reviews and any updates.o Monitor institutional practices to ensure they meet internal policies and external requirements.4. Analysis and Reporting:o Provide regular reports on risk and compliance to senior management and the Risk and Compliance Committee.o Monitor and report on annual quality assurance activities.o Prepare and submit compliance reports to senior management.5. Continuous Improvement:o Promote a culture of compliance across the institution, encouraging continuous improvement.o Lead or assist in initiatives designed to enhance the institution's compliance framework.Key Skills and Qualifications:<ul><li>Educational Background: A bachelor&rsquo;s degree in law, business, public administration, or a related field. A postgraduate qualification in education compliance, risk management, or regulatory affairs is desirable.</li><li>Experience: At least 3-5 years of experience in a compliance role, preferably within the higher education sector. Familiarity with Australian higher education regulations is essential.</li><li>Knowledge: Strong understanding of the relevant legislation and frameworks affecting the higher education sector.</li><li>Analytical Skills: Strong ability to analyze regulatory requirements, identify areas of risk, and provide solutions.</li><li>Communication Skills: Excellent verbal and written communication skills for preparing reports, liaising with regulatory bodies, and conducting training.</li><li>Attention to Detail: A high level of attention to detail, ensuring all aspects of compliance are meticulously managed.</li><li>Organizational Skills: Ability to manage multiple tasks and deadlines, often under pressure, in a fast-paced educational environment.</li></ul>Must be experienced in:<ul><li>Prior experience with an AICTE(All India council for Technical education)- Approved university or college is required for the role of compliance officer.</li></ul>Reporting:The Compliance Officer typically reports to the Director of Operations and the Chief Executive Officer (CEO).How to Apply:Please send your resume and a cover letter to &quot;arun@unienrolguru.com&quot; with the subject line &quot;Risk and Compliance Officer.&quot;We look forward to your application and the possibility of working together to shape the future of international education at Unienrol Guru!Job Types: Full-time, PermanentPay: From &#8377;30,000.00 per monthBenefits:<ul><li>Food provided</li></ul>Ability to commute/relocate:<ul><li>Chandigarh, Chandigarh: Reliably commute or planning to relocate before starting work (Required)</li></ul>Education:<ul><li>Master's (Required)</li></ul>Work Location: In personApplication Deadline: 23/04/2025

Compliance Officer

WAFRA GULF F X CURRENCIES BROKERS L.L.C

Compliance Officer (SCA Accredited)Location: Dubai, United Arab EmiratesJob Type: Full-Time | On-site Immediate availability is preferred.Mandatory Requirements<ul><li>Experience: Minimum 1&ndash;2 years as a Compliance &amp; Risk Management Officer within a licensed FOREX trading brokerage in the UAE.</li><li>Certification: Must hold CISI-SCA certifications in Compliance and/or Risk Management, accredited by the Securities and Commodities Authority (SCA).</li><li>Candidates with one certification (either Compliance or Risk) may apply, provided they commit to obtaining the second within an agreed timeframe.</li></ul>Role OverviewThe Compliance Officer (SCA Accredited) is responsible for ensuring that the company operates in full compliance with UAE laws and SCA regulatory requirements. The role involves monitoring regulatory obligations, mitigating risks, and promoting a strong compliance culture across the organisation.Key ResponsibilitiesCompliance:<ul><li>Ensure adherence to all SCA regulations, including licensing, registration, and regulatory reporting.</li><li>Serve as the primary point of contact with UAE regulatory authorities, particularly the SCA.</li><li>Monitor regulatory updates and advise senior management on compliance implications.</li><li>Manage SCA licensing and registration processes for the company and its employees.</li><li>Oversee timely submission of regulatory filings, disclosures, and reports.</li><li>Conduct regular compliance training and awareness sessions for staff.</li><li>Investigate potential compliance breaches and recommend corrective action.</li><li>Coordinate with auditors, legal counsel, and consultants to ensure alignment with UAE law.</li></ul>Skills &amp; Competencies<ul><li>Strong knowledge of UAE regulatory requirements governing FOREX brokerages.</li><li>Analytical mindset with excellent problem-solving abilities.</li><li>Strong written and verbal communication skills in English (Arabic is an advantage).</li><li>High ethical standards, independence, and attention to detail.</li><li>Strong organisational and interpersonal skills.</li></ul>Application ProcessInterested and qualified candidates are invited to submit their CV along with valid SCA certification(s) to: careers@wafracapital.aeImportant: Please mention &ldquo;Compliance Officer (SCA Accredited)&rdquo; in the subject line of your email application.Only candidates with relevant UAE brokerage compliance experience will be considered.Job Types: Full-time, PermanentPay: From AED10,000.00 per monthEducation:<ul><li>Bachelor's (Preferred)</li></ul>Experience:<ul><li>Banking: 1 year (Required)</li></ul>License/Certification:<ul><li>(SCA Accredited) (Preferred)</li></ul>Location:<ul><li>Dubai (Required)</li></ul>

Compliance Officer (SCA Accredited)

Jameson Legal

<div>
 
 
 Risk and Compliance Officer &ndash; Middle East
 
 
 
 An International family office is looking for a Risk and Compliance officer to join their Team in the Middle East that looks after their interests across Europe. This is a great opportunity to join a team looking after the Middle East and Asia interests of a prestigious Family office.
 
 
 
 
 
 
 The Role:
 
 
 
 This role is offering the chance to be instrumental in updating, upgrading, and embedding the Family Office compliance and Risk framework across their Middle East and Asia offices. As the Risk and Compliance Officer, you will be responsible for ensuring the business operations and procedures comply with all legal regulations and internal policies.
 
 
 
 
 
 
 Responsibilities
 
 
 <ul>
 <li>
 Managing day to day compliance queries from the business
 </li>
 <li>
 Working with the business to ensure that all regulatory, operational and conduct risks that impact the Group have been identified, assessed, and have appropriate controls that are appropriately monitored
 </li>
 <li>
 Develop and maintain the risk register
 </li>
 <li>
 Develop a compliance and risk monitoring program
 </li>
 <li>
 Ensuring all regulatory filings are made prior to filing deadline
 </li>
 <li>
 Assisting in the development of a strategic approach to risk and compliance across the Group
 </li>
 <li>
 Providing advice and support on regulatory requirements
 </li>
 <li>
 Liaising and engaging stakeholders and senior members of staff on compliance and risk matters
 </li>
 <li>
 Reading large pieces of regulation and break down what is needed to be done and how it applies to the business
 </li>
 <li>
 Ensuring that local risk management frameworks and processes are aligned with global ones and deliver the intended outcome
 </li>
 <li>
 Drafting, assessing, and implementing policies
 </li>
 </ul>
</div>

Risk and Compliance officer

Fiducrest

Role SummaryThe Compliance Officer will support the Principal Officer in ensuring that the Fund Management Entity operates in full compliance with all applicable laws, regulations, and internal policies. This role focuses on day-to-day compliance operations, regulatory reporting, and maintaining adherence to GIFT City and IFSCA guidelines while supporting the overall compliance framework.Key ResponsibilitiesRegulatory Compliance &amp; Monitoring<ul><li>Support ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines</li><li>Assist in end-to-end compliance with IFSCA, SEZ, SEBI and related regulatory frameworks</li><li>Prepare and file periodic reports, including monthly, quarterly, and annual filings with IFSCA</li><li>Ensure timely submission of regulatory forms, including AIF returns, KYC, and AML reporting</li><li>Monitor compliance with investment guidelines and fund mandates</li></ul>Policy Implementation &amp; Documentation<ul><li>Implement and monitor the fund&rsquo;s compliance policies, procedures, and controls as established by the Principal Officer</li><li>Maintain and update compliance manuals, SOPs, and internal policies</li><li>Assist in reviewing Fund Documents, Constitutional Documents and Policies</li><li>Maintain physical and digital filing systems for statutory and operational documents</li></ul>Financial Reporting &amp; Operational Support<ul><li>Support timely preparation of financial statements, audit support files, and reports for the AIF and FME</li><li>Coordinate with fund administrator/fund accountant for timely NAV calculations</li><li>Assist in reconciliation of bank accounts, investor contributions, investments, and expenses</li><li>Ensure accuracy of compliance-related financial reporting</li></ul>Stakeholder Coordination<ul><li>Coordinate with auditors, legal advisors, tax consultants, and regulators under supervision</li><li>Coordination with Administrator, Bank custodian, Clients, Team members and other entities in GIFT</li><li>Support investor onboarding (including KYC, FATCA, CRS compliance)</li><li>Handle Client Queries related to Compliance and escalate complex matters</li></ul>Fund Operations Compliance<ul><li>Monitor capital call and distribution notices, fund flows, and reporting to investors for compliance</li><li>Ensure compliance in coordination with custodians, bankers, fund administrators, and portfolio managers</li><li>Maintain investor records, drawdown schedules, commitment tracking for regulatory purposes</li><li>Support board and investor meetings documentation and ensure necessary resolutions compliance</li></ul>Specialized Compliance Areas<ul><li>Execute AML Compliances procedures</li><li>Support compliances of Ancillary Service Provider at GIFT City</li><li>Manage compliance documentation including board minutes, investor communications, and vendor agreements</li><li>Conduct regular compliance reviews and risk assessments</li></ul>Preferred Skills &amp; Competencies<ul><li>Strong understanding of IFSCA regulations, SEBI guidelines, and GIFT City operational framework</li></ul><ul><li>Experience with Alternative Investment Funds (AIF) and Fund Management Entity operations</li></ul><ul><li>Excellent knowledge of KYC, AML, FATCA, and CRS compliance requirements</li></ul><ul><li>Strong analytical and problem-solving skills</li></ul><ul><li>Excellent written and verbal communication skills</li></ul><ul><li>Ability to work under supervision while managing multiple compliance tasks</li></ul><ul><li>Proficiency in regulatory reporting and documentation</li></ul><ul><li>Strong attention to detail and accuracy</li></ul><ul><li>Ability to work collaboratively with the Principal Officer and senior management</li></ul>Job Type: Full-timePay: &#8377;40,000.00 - &#8377;60,000.00 per monthBenefits:<ul><li>Cell phone reimbursement</li><li>Commuter assistance</li><li>Work from home</li></ul>Location:<ul><li>Gandhinagar, Gujarat (Required)</li></ul>Work Location: In person

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