WM Regulatory Compliance Lead

22 hours ago


Dubai, Dubai, United Arab Emirates Arab Bank Full time

Accountabilities and Key Roles:

  • Lead the development, implementation, and oversight of regulatory compliance frameworks for wealth management activities, ensuring alignment with applicable laws, regulations, and internal policies.
  • Provide guidance to Wealth Management teams on regulatory requirements, suitability standards, conduct obligations, and client‑protection rules.
  • Monitor regulatory changes, market developments, and emerging compliance risks affecting wealth management products and services.
  • Conduct risk assessments, compliance reviews, and gap analyses specific to wealth management operations.
  • Support regulatory reporting, examinations, and inquiries related to Wealth Management activities.
  • Deliver compliance training to Wealth Management staff to reinforce regulatory expectations and best practices.
  • Identify compliance risks and support corrective and preventive actions to strengthen controls and reduce regulatory exposure.
  • Collaborate with business units to resolve compliance issues and ensure effective controls related to wealth management operations.
  • Oversee training and awareness programs to promote a strong compliance culture within wealth management teams.
  • Liaise with regulatory authorities, auditors, and external stakeholders on wealth management compliance matters.
  • Mentor and develop wealth management compliance staff, fostering high standards of expertise and professionalism.

Job Requirements:

Education:

  • Bachelor's degree in Finance, or a related field from a recognized university.
  • Professional certifications in regulatory compliance, wealth management (preferred).

Experience:

  • Minimum of 10 Years of experience in regulatory compliance wealth management.
  • Experience in banking or financial services sector.

Competencies:

  • Strong knowledge of wealth management regulations, products, and compliance frameworks.
  • Analytical and problem-solving skills.
  • Excellent communication, presentation, and report writing abilities.
  • Leadership and team management.
  • Project management and coordination skills.
  • Attention to detail and professional integrity.
  • Stakeholder management and collaboration.


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