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 (, 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 non-public information concerns, including NDA reviews, and propose follow-up 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.