Compliance Officer should ensure that the company’s operations and business transactions comply with all relevant legal and internal regulations. This role involves contributing to the development and implementation of compliance programs, reviewing company policies, and advising management on potential risks. The Compliance Officer should have strong analytical skills, and a deep understanding of regulatory requirements specific to the financial advisory sector. Experience working with different UAE regulators (CBUAE, DFSA) would be an advantage.

SKILLS:

• Excellent analytical and problem-solving abilities.
• Strong attention to detail and organizational skills.

• Regulatory Compliance:
• Ensure adherence to all financial regulations and internal policies.
• Monitor changes in relevant legislation and the regulatory environment.
• Conduct regular compliance checks and audits to verify adherence to established protocols.
• Policy Development:
• Contribute to the development and implementation of policies and procedures to meet compliance standards.
• Review and update policies periodically to maintain their effectiveness and relevance.
• Risk Management:
• Contribute to the identification of potential compliance vulnerabilities and risks.
• Develop and implement corrective action plans for resolution of problematic issues.
• Provide guidance on how to avoid or handle similar situations in the future.
• Training and Education:
• Develop and deliver compliance training programs for employees.
• Ensure all employees are educated on the latest regulations and processes.
• Reporting:
• Prepare and present compliance reports to senior management and regulatory bodies as required.
• Maintain documentation of compliance activities, including complaints received and investigation outcomes.
• Client Management:
• Conduct due diligence and background checks on new clients.
• Monitor ongoing client activities to ensure compliance with regulatory requirements.