Compliance Manager

Job Description

Job Overview/Purpose

This job focuses on implementing and monitoring compliance programs, policies, and procedures, conducting regular audits, and providing guidance to business units to mitigate risks. The Compliance Manager acts as a key advisor on regulatory issues and plays a vital role in fostering a culture of compliance, ethical practices, and corporate integrity across the business.

Key Accountabilities & Responsibilities

• Implement and maintain compliance frameworks, policies, and procedures to ensure adherence to UAE SCA and other applicable regulations.
• Conduct periodic compliance reviews and monitoring activities to identify gaps, risks, and areas for improvement.
• Ensure the organisation is up to date with changes in laws, regulations, and regulatory guidelines
• Support the Head of Compliance in preparing regulatory filings and reports to authorities.

• Identify, assess, and document compliance risks across business operations.
• Recommend practical corrective actions and controls to mitigate identified risks.
• Support the design and execution of effective compliance controls within daily operations.
• Assist in trade surveillance and monitoring activities, flagging potential breaches.

• Conduct internal compliance audits and prepare reports on findings for management.
• Support investigations into potential compliance breaches, misconduct, or ethics violations.
• Maintain proper documentation of audit results, findings, and remedial actions.

• Draft, review, and update compliance policies and procedures, ensuring alignment with regulatory updates.
• Assist in the development and delivery of compliance training and awareness programs.
• Promote a strong compliance culture by guiding employees on regulatory requirements, ethical standards, and best practices.

• Prepare compliance reports and dashboards for the Head of Compliance and senior stakeholders.
• Communicate compliance issues, updates, and resolutions clearly and effectively to relevant teams.
• Support the Head of Compliance in liaising with regulators, external auditors, and consultants.

• Work closely with Finance, Legal, HR, and IT to ensure compliance is embedded in organisational processes.
• Provide day-to-day advisory support to business units on compliance-related queries and requirements.
• Encourage employees to embrace compliance responsibilities and ethical conduct.

• Uphold company values throughout business practices and utilise sound judgment in decision making.
• Any other additional duties as may be required by management based on needs of the business.

Position Requirements

• Minimum of 7-10 years of years of experience in compliance, regulatory affairs, or a related field within financial services.
• Prior experience with regulatory bodies (e.g., SCA, FSA, MAS, HKMA) or working in a regulated Wealth or Asset Management environment is preferred.
• Exposure to compliance monitoring, trade surveillance, or risk management activities.

• Bachelors degree in Law, Business, Finance, or a related field
• Masters degree preferred.
• UAE SCA accreditation (mandatory or to be obtained within a set timeframe).
• Professional certifications in compliance (e.g., CISI, ICA, CRCM, or equivalent) are advantageous.

• Strong knowledge of MENA regulatory frameworks (particularly UAE SCA), AML, KYC, and related compliance laws.
• Excellent analytical and problem-solving skills with strong attention to detail.
• Strong communication skills with the ability to explain compliance requirements clearly.
• Ability to conduct effective compliance monitoring and reporting.
• Good organisational skills with the ability to manage multiple priorities.
• Ethical, discreet, and able to handle sensitive information responsibly.
• Ability to work collaboratively across functions and influence colleagues to adopt best