Senior Compliance Officer
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Job Description
A reputable investment firm in Abu Dhabi is seeking a Senior Compliance Officer to lead and enhance its compliance framework. This role is pivotal in ensuring adherence to regulatory requirements and internal policies while also fostering a culture of compliance across the organization. The ideal candidate will have strong academics extensive experience in compliance and legal roles and a robust understanding of the risks associated with financial institutions.
Key Responsibilities:
Compliance Awareness & Training:
- Raise awareness of compliance matters within the organization.
- Prepare and update training presentations to ensure staff are informed of current compliance standards and practices.
- Raise awareness of compliance matters within the organization.
Policy & Procedure Management:
- Collaborate with the Compliance team to prepare and update policies as required.
- Collaborate with the Compliance team to prepare and update policies as required.
Due Diligence & Investment Review:
- Attend Due Diligence Committee meetings providing feedback on new investments in line with established guidelines.
- Conduct guideline checklist reviews background checks and reputational risk assessments.
- Attend Due Diligence Committee meetings providing feedback on new investments in line with established guidelines.
AML & Regulatory Response:
- Respond promptly to AML requests from counterparties.
- Address internal and external enquiries regarding operational compliance including AML and classification issues.
- Respond promptly to AML requests from counterparties.
Committee Support & Action Implementation:
- Implement actions arising from various committees (e.g. Investment Operations Committee Benchmark and Investment Guidelines Committee).
- Prepare and present reports for the Investment Operations Committee escalating issues or breaches and recommending corrective measures.
- Maintain the internal breaches register accurately and on time.
- Implement actions arising from various committees (e.g. Investment Operations Committee Benchmark and Investment Guidelines Committee).
Compliance Monitoring & Filings:
- Execute regular compliance monitoring programs and liaise with investment departments to ensure tasks are completed and issues are addressed.
- Prepare routine and ad hoc regulatory filings coordinating with external parties to meet deadlines.
- Execute regular compliance monitoring programs and liaise with investment departments to ensure tasks are completed and issues are addressed.
Confidentiality & Document Review:
- Review documents for potential nonpublic information concerns including NDA reviews and propose followup actions.
- Update restricted stock lists and supporting records to ensure sensitive information remains protected.
- Review documents for potential nonpublic information concerns including NDA reviews and propose followup actions.
Code of Conduct & Research:
- Conduct discreet code of conduct reviews to identify and address areas of weakness.
- Assist with compliance research on best practices regulatory requirements and system improvements.
- Conduct discreet code of conduct reviews to identify and address areas of weakness.
Project Participation:
- Engage in projects aimed at automating and streamlining manual compliance functions.
- Engage in projects aimed at automating and streamlining manual compliance functions.
Additional Duties:
- Perform other related tasks as assigned.
- Perform other related tasks as assigned.
Requirements
- Strong academic background with a proven track record of excellence.A minimum of 8 years of compliance/legal experience in financial institutions.
- Indepth understanding of risks in financial institutions including asset management private equity public markets antimoney laundering and antibribery legislations.
- Sound knowledge of investment products and regulatory filing requirements.
- Demonstrated ability to manage compliance initiatives and work effectively with crossfunctional teams.
- Strong analytical communication and problemsolving skills.
- Relevant legal or compliance certifications and qualifications are preferred.
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Disclaimer: Please note that Black Pearl will never ask any of its candidates for any payment in exchange for our service in helping candidates find a job. Our service is free to our candidates and the recruitment fee is paid by our clients. If you receive any emails SMS or calls requesting you to pay from someone claiming to be an employee of Black Pearl before they can process your application please report and write an email to or contact our office at.
To be considered for this role, you need to meet the following criteria: Strong academic background with a proven track record of excellence. A minimum of 8 years of compliance/legal experience in financial institutions. In-depth understanding of risks in financial institutions, including asset management, private equity, public markets, anti-money laundering, and anti-bribery legislations. Sound knowledge of investment products and regulatory filing requirements. Demonstrated ability to manage compliance initiatives and work effectively with cross-functional teams. Strong analytical, communication, and problem-solving skills. Relevant legal or compliance certifications and qualifications are preferred. Follow the Black Pearl channel on WhatsApp. To know other vacancies we have, please feel free to visit our website - Disclaimer: Please note that Black Pearl will never ask any of its candidates for any payment in exchange for our service in helping candidates find a job. Our service is free to our candidates and the recruitment fee is paid by our clients. If you receive any emails, SMS, or calls requesting you to pay from someone claiming to be an employee of Black Pearl before they can process your application, please report and write an email to or contact our office at .
Employment Type
Full Time
