Senior Compliance Officer

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.
    

• Policy & Procedure Management:
  

  • 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.
    

• AML & Regulatory Response:
  

  • Respond promptly to AML requests from counterparties.
    
  • Address internal and external enquiries regarding operational compliance including AML and classification issues.
    

• 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.
    

• 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.
    

• 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.
    

• 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.
    

• Project Participation:
  

  • Engage in projects aimed at automating and streamlining manual compliance functions.
    

• Additional Duties:
  

  • Perform other related tasks as assigned.
    

Requirements

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.
  

• 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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