Compliance Officer

2 weeks ago

Dubai, United Arab Emirates Millennium Management Full time

Compliance Officer

The Compliance Department at Millennium serves to adopt, implement, and carry out a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are currently seeking a Compliance Officer to join our DIFC office.

**Principal Responsibilities**
- Provide on desk Compliance coverage for trading teams
- Timely and accurate investigation and disposition of market abuse and communications surveillance alerts and reports
- Identification and escalation of potentially suspicious order, trade and communications activity.
- Conducting ad hoc reviews and analysis of activity to identify potentially suspicious activity and/or patterns or repeated activity
- Monitor and analyse the impact of compliance and regulatory developments in the UAE, including the DIFC
- Assist in alert calibration testing for new and existing alert types, ensuring any proposed changes/enhancements to alerts are delivered as expected. These should be aligned with UAE rules, regulations and laws.
- Assist in the maintenance of the Firm’s compliance program
- Assist in the administration and review of compliance certifications, which may include sensitive information relating to conduct
- Assist in improving the accuracy and efficiency of Compliance processes
- Assist in maintenance of procedure manuals as and when required
- Conduct KYC on client files as needed
- Assist in the preparation of compliance trade reports and presentations for management
- Provide support for regulatory examinations, internal investigations, regulatory inquiries, and internal and external audits and inspections
- Assist in preparation and maintenance of compliance training
- Schedule and maintain Compliance logs and materials
- Participate in working groups and other projects as needed
- Keep current on recent compliance and regulatory issues, trends, and upcoming developments, including obtaining and making appropriate use of any findings, recommendations, guidance, directives, resolutions, sanctions, notices or other conclusions issued by the UAE government, any UAE government department, the FIU and any UAE enforcement agency, the Financial Action Task Force, the DFSA and the United Nations Security Council

**Qualifications/Skills Required**
- Experience at a regulatory authority or in the Compliance department of a financial services company
- Strong knowledge of trading in a variety of asset classes, including commodities
- Demonstrable experience working with trade and communication surveillance systems and alerts and investigating associated conduct issues
- Must be able to quickly grasp an understanding of alert triggers and trading behaviour
- Must be able to prioritize in a fast moving, high pressure, constantly changing environment, and high sense of urgency
- Ideally have experience in compliance monitoring
- Strong attention to detail and accuracy essential as well as organization skills
- Strong communication skills and outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
- Good team player with a strong willingness to participate and help others in the Compliance team

  • Safety Officer

    2 weeks ago

    Dubai, Dubai, United Arab Emirates SAFETY OFFICER Full time

    Company DescriptionMechanical Jobs and Career is dedicated to providing up-to-date information on job vacancies for mechanical engineers across multinational corporations and government entities. Our platform connects professionals with opportunities that match their skillsets, enhancing their chances of selection. We take pride in our commitment to nature...

  • Compliance Officer

    3 days ago

    Dubai, United Arab Emirates MMC Corporate Full time

    We are seeking a Compliance Officer for our Dubai International Financial Centre (DIFC) Marsh and Mercer businesses. This key role will focus on ensuring adherence to DIFC/DFSA regulations, managing compliance risks, and maintaining the highest standards of ethical conduct. The Officer will be instrumental in upholding our reputation and integrity through...

  • Compliance Officer

    2 weeks ago

    Dubai, Dubai, United Arab Emirates Mondrian Alpha Full time

    A rapidly expanding, European hedge fund is looking to hire its first Compliance Officer into their newly-established Dubai office.They have had exceptional performance and have rapidly increased in both AUM and headcount. Given their growth in London, they have recently launched a Dubai office and are now focused on this buildout.They are looking to hire a...

  • Compliance Officer

    4 days ago

    Dubai, United Arab Emirates ERKIDA Full time

    Ensure the organization complies with legal and regulatory requirements relevant to its operations - Develop, implement, and monitor compliance policies and procedures across all departments - Conduct regular audits and assessments to identify potential compliance risks - Provide training and guidance to employees on compliance-related matters - Investigate...

  • Compliance Officer

    1 week ago

    Dubai, Dubai, United Arab Emirates Savills Middle East Full time

    The RoleThe Compliance Officer will form part of the regional support team at Savills Middle East and will be responsible for assisting the Compliance department with AML compliance reviews and approvals after office hours.The position offers remote working with occasional office attendance as per business requirements, with working hours scheduled Monday to...

  • Compliance Officer

    4 days ago

    Dubai, United Arab Emirates Nexus Insurance Brokers Full time

    Compliance Officer should ensure that the company’s operations and business transactions comply with all relevant legal and internal regulations. This role involves contributing to the development and implementation of compliance programs, reviewing company policies, and advising management on potential risks. The Compliance Officer should have strong...

  • Compliance Officer

    2 weeks ago

    Dubai, Dubai, United Arab Emirates WUBU Full time

    Job Description: Compliance Officer and Money Laundering Reporting Officer (MLRO)Role PurposeThe Compliance Officer is responsible for establishing, implementing, maintaining, and overseeing the Company's compliance framework to ensure full and ongoing compliance with all applicable VARA laws, regulations, rulebooks, directives, and guidance. The role is...

  • Compliance Officer

    23 hours ago

    Dubai, United Arab Emirates Stratum Owners Association Management Full time

    **Job Purpose**: The Compliance Officer ensures that the organization operates in accordance with legal and regulatory requirements, internal policies, and industry standards. This role plays a key part in identifying potential compliance risks, implementing controls, and promoting a strong culture of compliance throughout the organization. **Key...

  • Compliance Officer

    4 days ago

    Dubai, United Arab Emirates Avyanco Business Consultancy Full time

    **Company**: Avyanco Business Consultancy LLC **Location**: Dubai, UAE **Department**: Compliance **Reports To**: Compliance Officer **Summary**: **Key Responsibilities**: - Assist in the development, implementation, and maintenance of compliance policies and procedures, ensuring alignment with UAE regulations. - Monitor and assess compliance risks...

  • Compliance Officer

    1 week ago

    Dubai, Dubai, United Arab Emirates ADIV Human Resources Consultancies, L.L.C Full time

    NOW HIRING: Compliance Officer – Arabic SpeakerLocation: Meydan (for our client's team)Salary: AED 10,000 – 13,000We are hiring aCompliance Officer / Senior Compliance Executiveon behalf of our client in Meydan. The ideal candidate will ensure full adherence to regulatory standards, AML frameworks, and internal compliance policies, while working...