Compliance Manager

Job Description

Location: Dubai

About the Client

Our client, an investment manager, is seeking a Compliance Manager to join their team. In this role, you will develop and refine compliance policies, implement metrics to monitor adherence, and conduct audits to assess effectiveness, while also performing enforcement actions to ensure alignment with internal standards, industry regulations, and legal requirements

Key Responsibilities:

• Develop and maintain compliance policies, protocols, and internal controls to ensure ongoing alignment with regulations
• Define, track, and analyse compliance metrics/KPIs to monitor performance and identify gaps
• Conduct audits, assessments, and investigations, collaborating with external auditors where necessary to identify risks and drive improvements
• Review and approve marketing and client communications to ensure adherence to legal and industry standards
• Design and deliver compliance training, create resource libraries, and respond to queries to cultivate a culture of ethical conduct
• Stay abreast of regulatory changes and update policies, while supporting crisis or compliance violation response plans

Requirements:

• 8+ years experience in compliance, risk management, or related roles.
• Deep knowledge of UAE regulatory landscape, including SCA rules and relevant federal laws.
• Strong experience in compliance or risk functions, especially within financial services.
• Proven expertise in cross-border transactions and industry best practices.
• Research background in fixed income, equity, and FX markets.