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Compliance Officer

4 months ago

United Arab Emirates Skybound Wealth Management Full time

The Compliance Officer plays a critical role in ensuring that financial services operations adhere to relevant laws, regulations, and internal policies.

This position requires an experienced professional with a strong understanding of regulatory requirements within the financial services industry. The Compliance Officer will develop and implement compliance programs, monitor adherence to regulations, and provide guidance to internal stakeholders.

Responsibilities:

Regulatory Compliance:

Stay abreast of regulatory developments, guidelines, and requirements applicable to the financial services industry in the UK, including but not limited to FCA (Financial Conduct Authority) regulations.

Interpret regulatory changes and assess their impact on the organization.

Policy Development:
Develop, implement, and maintain compliance policies, procedures, and controls to ensure adherence to regulatory requirements. Review and update policies in response to changes in regulations or business practices.

Risk Assessment:
Conduct risk assessments to identify compliance risks and vulnerabilities within the organization. Develop strategies to mitigate risks and implement controls to prevent regulatory violations.

Training and Education:
Provide training and guidance to employees on compliance policies, regulations, and best practices. Ensure that staff members understand their compliance obligations and responsibilities.

Monitoring and Surveillance:
Establish monitoring and surveillance programs to detect and prevent compliance breaches. Conduct regular reviews and audits of business activities to assess compliance with regulations and internal policies.

Reporting and Documentation:
Prepare and submit regulatory reports and filings as required by relevant authorities. Maintain accurate records and documentation related to compliance activities, audits, and investigations.

Investigations and Remediation:
Investigate compliance violations, allegations of misconduct, or breaches of regulations. Develop and implement corrective actions and remediation plans to address identified issues.

Relationship Management:
Serve as a liaison with regulatory agencies, auditors, and external stakeholders on compliance-related matters. Respond to inquiries and requests for information in a timely and professional manner.

Advisory Support:

Provide expert advice and guidance to senior management and other stakeholders on compliance matters, including the interpretation of regulations and the implementation of compliance controls.


Continual Improvement:
Identify opportunities for process improvements and enhancements to compliance programs. Implement changes to enhance the effectiveness and efficiency of compliance operations.

‍Requirements**:

  • Bachelor's degree in business administration, Law, or a related field.
  • Professional certification in compliance (e.g., CAMS, CFE, CRCM) is required.
  • Proven experience in compliance roles within the financial services industry, with a focus on regulatory compliance and risk management.
  • Indepth knowledge of UK financial regulations, including FCA rules and regulations governing banking, investment, and insurance activities.
  • Strong analytical skills and attention to detail, with the ability to interpret complex regulatory requirements and assess their impact on business operations.
  • Excellent communication and interpersonal skills, with the ability to effectively engage with stakeholders at all levels of the organization.
  • Demonstrated ability to develop and implement compliance policies, procedures, and controls in a dynamic and evolving regulatory environment.
  • Experience conducting compliance risk assessments, audits, and investigations, with a focus on identifying and mitigating compliance risks.
  • Proficiency in Microsoft Office suite (Word, Excel, PowerPoint) and compliance management software.
  • Ability to work independently and collaboratively in a fastpaced and challenging environment, with a commitment to maintaining high ethical standards.
  • Strong leadership skills, with the ability to influence and motivate others to achieve compliance objectives.