Company Secretary / Compliance Officer
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Key skills for this role
About the Role
A UAE-based financial services organization seeks a Company Secretary / Compliance Officer to manage trading accounts, ensure regulatory compliance, and support corporate governance.
Key Skills for This Role
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Overview
Our clients, a well-established UAE-based financial services and investment organization specializing in capital markets, trading, and investment solutions.
Key Responsibilities
- Manage the opening of trading accounts with brokers.
- Draft and submit legal responses and correspondence to regulators and government authorities.
- Support legal, compliance, and corporate governance functions, particularly in relation to capital markets and investment activities.
- Maintain and update AML/KYC policies and oversee client onboarding, due diligence, and screening processes.
- Ensure compliance with UAE regulatory requirements, including AML, KYC, and corporate governance obligations.
- Coordinate regulatory inspections, AML audits, and compliance reviews.
- Facilitate client onboarding into investment funds and act as a liaison between clients and compliance teams.
- Organize Board and shareholder meetings, prepare minutes and resolutions, and maintain statutory records.
- Manage corporate filings, renewals, and compliance requirements through platforms such as DMCC and SHAMS.
- Maintain legal and corporate documentation, including contracts, agreements, and corporate records.
- Monitor regulatory developments and provide guidance on legal and compliance matters.
- Perform ad hoc corporate, legal, compliance, and operational duties, including company incorporations and account openings.
Education And Qualifications
Bachelor’s degree in Law, Business Administration, or a related field.
A Master's degree or certifications in Company Secretaryship.
Key Skills
- UAE compliance experience is mandatory.
- Preference will be given to candidates from the same industry or those with capital markets/stock market experience in the UAE or India.
- Prefer with a Company Secretary (CS) qualification or an equivalent professional qualification relevant to corporate governance and compliance.
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