HEAD OF COMPLIANCE

Must Have Required in Profile:
1) Securities and Commodities Authority (SCA) Accredited. (Cleared exams like UAE Financial Rules and Regulations and Combating Financial Crime)
2) Preferably worked in Capital Markets Industry in UAE.
3) Well-versed with SCA, AML/CFT and FATCA/CRS laws and reporting.
4) Experience in Client onboarding, AML Compliance and regulatory inspections.

Job Description:

• Serve as the principal liaison between the company and SCA, handling regulatory filings, updates, and correspondence.
• Design, implement company policies and manage a robust compliance framework in line with SCA regulations.
• Oversee client onboarding and KYC/AML processes, ensuring adherence to regulatory and internal standards.
• Monitor trading activity and internal operations to identify and address compliance risks.
• Prepare and submit periodic compliance reports to management and regulatory authorities like FIU and SCA
• Conduct internal compliance training and awareness programs.
• Lead internal audits and assist in external audits with a compliance perspective.
• Proactively track changes in the regulatory landscape and update internal policies accordingly.
• Ensure timely reporting of suspicious activities (STRs) and oversee regulatory inspections

WORK EXPERIENCE WITH TRADING INDUSTRY WILL BE HIGHLY APPRECIATED.

Job Types: Full-time, Permanent

Education:

• Bachelor’s (Required)

Experience:

• Capital Market Industry: 4 years (Required)
• Compliance Officer: 4 years (Required)

License/Certification:

• Regulatory Frameworks including SCA, FCA, SEC (Required)

Please refer the Job description for details