Description:
The Compliance Officer will be responsible for building and maintaining a compliance environment that reflects the highest standards of integrity, transparency, and accountability. This includes developing policies, leading compliance monitoring, managing regulatory reporting, and ensuring staff are well-trained and fully aligned with applicable requirements.
You will work closely with the Board, senior management, and operational teams to safeguard the company against legal, financial, and reputational risks while fostering a culture of compliance across the business.
Key Responsibilities
- Policy Development and Oversight
- Draft, implement, and maintain compliance policies and procedures across the organization.
- Ensure internal controls are effective and reflect both UAE regulatory requirements and international standards.
- AML / KYC and Client Onboarding
- Lead customer due diligence, enhanced due diligence, sanctions screening, and risk assessments.
- Oversee ongoing monitoring of transactions and escalate any suspicious activity promptly.
- Risk and Governance
- Conduct risk assessments across all business units, documenting key exposures and mitigation strategies.
- Maintain registers for conflicts of interest, incidents, and breaches, ensuring transparency and accountability.
- Training and Awareness
- Develop and deliver training programs for staff and management on AML/CFT, data protection, conduct, and compliance best practices.
- Promote a culture of ethical behaviour and regulatory awareness at all levels.
- Monitoring and Audits
- Perform regular compliance reviews and internal audits to ensure effectiveness of controls.
- Lead remediation efforts and track corrective actions until fully resolved.
- Regulatory Engagement and Reporting
- Prepare and submit regulatory reports, notifications, and disclosures in a timely and accurate manner.
- Serve as the primary point of contact for compliance-related queries from regulators and stakeholders.
- Whistleblowing and Complaints Management
- Maintain secure, confidential reporting channels for compliance concerns.
- Investigate breaches or complaints and oversee fair resolution processes.
Requirements
- Experience: 5–7 years in compliance, ideally within fintech, crypto, or financial services.
- Knowledge: Strong understanding of UAE regulatory requirements, AML/CFT frameworks, and international standards.
- Skills:
- Excellent attention to detail, analytical ability, and documentation skills.
- Strong communication skills and the ability to train and guide teams.
- Proactive, solution-oriented mindset with independence in decision-making.
- Education / Certifications:
- Bachelor’s degree in Law, Finance, Business, or related field.
- Professional certifications (CAMS, ICA, CRCMP, or equivalent) are preferred but not mandatory.