Senior Compliance Officer
Job description / Role
Employment: Full Time
Key responsibilities:
Regulatory compliance oversight:Lead the development, implementation, and maintenance of regulatory compliance frameworks, ensuring alignment with DFSA, FSRA, and other relevant UAE regulations.
Monitor changes in local and international regulatory requirements impacting energy markets and trading activities.
Draft, review, and update compliance policies, procedures, and manuals as necessary.
Oversee regulatory reporting processes, ensuring timely and accurate submissions.
Financial crime compliance (FCC):Develop and manage the firm's Anti-Money Laundering (AML), Counter Terrorist Financing (CTF), Anti-Bribery & Corruption (ABC), and Sanctions frameworks.
Perform ongoing risk assessments of business activities and clients, ensuring appropriate due diligence measures are in place.
Oversee client onboarding processes, including KYC, CDD, and EDD as required.
Conduct transaction monitoring and investigate suspicious activities, escalating where necessary.
Act as the main point of contact for AML-related regulatory inquiries and audits.
Senior management responsibilities (SM16/17): Hold senior management functions with accountability for the compliance function's integrity and effectiveness.
Provide compliance updates and reporting to senior management and board-level committees.Lead internal training initiatives to ensure all staff are aware of and adhere to compliance obligations.
Hands-on operational involvement: Actively participate in day-to-day compliance monitoring, reviews, and investigations.
Work closely with front-office, operations, legal, and risk teams to embed a compliance-first culture.Lead thematic reviews, deep dives, and targeted compliance audits as required.
Regulatory engagement:Serve as a key liaison with local regulators and authorities, ensuring all communication and queries are handled appropriately.
Job Function: LegalCompany Industry: Finance, Investment & Asset Management
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