Compliance Officer – Vice President

• Posted 33 minutes ago

• Provide proactive advice to business management in developing compliance policies and procedures.
• Support the DFSA registered Compliance Officer and MLRO in responding to regulatory notices.
• Conduct annual reviews to ensure policies align with current regulations.
• Assist in preparing and delivering compliance training sessions.
• Identify and investigate potential rule breaches coordinating corrective actions.
• Liaise with internal and external auditors managing compliance issues from audits.
• Attend local committees to advise on compliance priorities in the absence of permanent members.
• Stay informed on industry trends and regulatory focus areas sharing insights with the team.
• Contribute to and conduct the Compliance Monitoring program.
• Oversee AML/CFT policies and controls ensuring alignment with local regulations.
• Coordinate senior managements focus on managing money laundering risks.

• Strong understanding of market structures products and key financial services regulations.
• Excellent written and oral communication skills with the ability to present complex information clearly.
• Proficient in written and spoken English.
• Exceptional research and analytical skills with independent decision-making ability.
• Experience collaborating with internal groups like Legal Audit or Risk.
• In-depth knowledge of DFSA/FSRA regulations and business lines.
• Highly collaborative with a strong emphasis on teamwork.
• Proactive attitude with a commitment to excellence.
• Proficient in MS Office (Outlook Word Excel Access PowerPoint).
• University degree or equivalent experience required.

• Experience in a DFSA/FSRA regulated environment.
• Legal or business education is highly regarded.
• Professional certifications such as CAMS or ICA.

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