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Compliance Manager - CMA Regulated
OX Human Resources Consultancies
Dubai, UAE
Full-time
Executive
Onsite
Discovered 2 weeks ago
Regulatory complianceUAE regulatory requirementsCMA rules and regulationsCompliance monitoring and testingRisk-based compliance frameworksAML/CFT
Key Skills for This Role
Regulatory complianceUAE regulatory requirementsCMA rules and regulationsCompliance monitoring and testingRisk-based compliance frameworksAML/CFT
Full Job Posting
Regulatory compliance and monitoring
- Maintain and develop the compliance framework in line with UAE regulatory requirements and CMA rules and regulations.
- Monitor regulatory developments and assess impacts on the company's business, products, policies, and procedures.
- Advise senior management and business functions, support regulatory submissions and correspondence, and assist with examinations, inspections, audits, and information requests.
- Develop and execute risk-based monitoring and testing; review business activities, processes, and controls.
- Identify compliance risks, recommend remediation, track actions to completion, and prepare reports and maintain records.
AML/CFT and financial crime
- Support implementation and effectiveness of AML/CFT and financial crime compliance controls.
- Work with stakeholders on customer due diligence, enhanced due diligence, sanctions screening, and transaction monitoring.
- Assist with review and escalation of suspicious or unusual activity and support AML/CFT risk assessments and policy reviews.
- Ensure regulatory reporting and escalation processes are followed.
Policies, training, and stakeholders
- Develop and update compliance policies, procedures, internal controls, and the regulatory obligations framework.
- Translate regulatory requirements into business processes and advise on products, processes, campaigns, and business initiatives.
- Review marketing and client-facing materials where required; deliver training and promote regulatory awareness and ethical conduct.
- Work with senior management and Legal, Risk, Operations, Finance, HR, and Sales; liaise with external advisers and regulatory bodies.
Requirements
- Bachelor’s degree in Law, Finance, Business, Compliance, Risk Management, or a related discipline.
- 5+ years of relevant compliance experience in financial services, investment firms, brokerage, banking, fintech, or a similarly regulated environment.
- Strong knowledge of UAE regulatory requirements; direct experience with CMA-regulated entities is preferred.
- Experience in regulatory compliance, monitoring, and risk-based frameworks; strong understanding of AML/CFT, KYC, sanctions, and financial crime controls.
- Experience preparing compliance reports, policies, procedures, and regulatory submissions.
- Regulator, inspection, audit, or information-request experience is highly desirable.
- Strong understanding of governance, risk, and internal controls; excellent analytical, communication, and stakeholder-management skills.
- Able to work independently and manage multiple compliance priorities in a fast-paced environment.
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