Compliance Officer

8 months ago

UAE, United Arab Emirates Skybound Wealth Management Full time

As a Compliance Officer within our financial wealth management firm, you will play a pivotal role in ensuring adherence to regulatory requirements and industry best practices. You will work closely with senior management, financial advisors, and other key stakeholders to maintain a culture of compliance and integrity throughout the organization. Your responsibilities will include developing, implementing, and monitoring compliance programs, as well as providing guidance and training to employees on regulatory matters.

**Responsibilities**:

- Develop, implement, and maintain comprehensive compliance policies, procedures, and controls specific to wealth management activities, ensuring alignment with relevant laws, regulations, and industry standards in the UAE.
- Conduct regular compliance risk assessments and audits to identify potential areas of non-compliance and develop strategies to mitigate risks effectively.
- Monitor changes in regulatory requirements and industry trends, and update compliance programs accordingly to ensure ongoing compliance with applicable laws and regulations.
- Provide guidance and training to financial advisors, client relationship managers, and other staff members on compliance-related matters, including anti-money laundering (AML), know your customer (KYC), and suitability requirements.
- Review client onboarding processes and documentation to ensure compliance with KYC and AML regulations, including conducting enhanced due diligence for high-risk clients.
- Oversee the implementation of procedures for handling and reporting suspicious transactions or activities in accordance with AML/CFT regulations.
- Collaborate with internal stakeholders, including legal, risk management, and operations teams, to address compliance-related issues, resolve regulatory inquiries, and implement corrective actions as necessary.
- Serve as the primary point of contact for regulatory examinations, audits, and inquiries, coordinating responses and ensuring timely and accurate submissions.
- Maintain documentation and records related to compliance activities, including audit findings, training records, and regulatory correspondence, ensuring completeness and accuracy.
- Stay abreast of developments in the regulatory landscape, industry best practices, and emerging compliance risks, and provide recommendations for enhancements to the compliance program.

**Qualifications:
- Bachelor's degree in business administration, law, or a related field.
- Professional certifications (e.g., 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.
- In-depth knowledge of UAE regulatory requirements governing financial services, including regulations issued by the Securities and Commodities Authority (SCA) and the Central Bank of the UAE.
- Strong understanding of AML/CFT regulations, KYC requirements, and suitability standards applicable to wealth management clients.
- Excellent communication and interpersonal skills, with the ability to effectively engage with stakeholders at all levels of the organization.
- Analytical mindset with the ability to assess complex regulatory requirements and identify practical solutions to ensure compliance.
- Proven ability to manage multiple projects and priorities in a dynamic environment, with a high degree of attention to detail and accuracy.
- Integrity, professionalism, and a commitment to upholding ethical standards and regulatory compliance.

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