Compliance Officer (SCA Regulated)
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About the Role
Position Overview: We are seeking an experienced and certified Compliance Officer to oversee and manage regulatory risk across our Dubai-based capital operations.
Key Skills for This Role
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Overview
Position Overview: We are seeking an experienced and certified Compliance Officer to oversee and manage regulatory risk across our Dubai-based capital operations.
The successful candidate will design, implement, and maintain an institutional-grade compliance and AML framework that aligns strictly with the Securities and Commodities Authority (SCA) regulations.
Key Responsibilities
SCA Alignment: **Develop, implement, maintain, and continuously update comprehensive compliance policies and procedures explicitly aligned with the latest SCA regulations and UAE federal laws.**
Regulatory Liaison: **Act as the primary, official point of contact for the SCA, Financial Intelligence Unit (FIU), and other relevant UAE regulatory authorities; manage all regulatory inspections, inquiries, and audits.**
AML/CFT Leadership: **Establish, supervise, and update rigorous Anti-Money Laundering (AML) and Combatting the Financing of Terrorism (CFT) programs, including enterprise-wide risk assessments.**
Monitoring & Internal Reviews: **Conduct regular compliance monitoring, transaction testing, internal reviews, and gap analyses to proactively identify and mitigate operational and regulatory vulnerabilities.**
Commercial Clearance: **Review and sign off on all marketing materials, promotional campaigns, investor presentations, and external client communications to ensure absolute regulatory compliance.**
Reporting & Disclosures: **Prepare, validate, and timely submit mandatory regulatory reports, suspicious activity reports (SARs), and ad-hoc compliance filings to authorities.**
Culture & Training: **Design and execute continuous compliance and AML training programs for all staff levels to foster a culture of integrity and risk awareness.**
Requirements & Qualifications
Education: **Bachelor’s degree in Finance, Law, Business Administration, or a highly related quantitative field.**
Certifications (Mandatory): **Valid Chartered Institute for Securities & Investment (CISI) qualification is strictly required.
Must meet all requirements for immediate SCA certification/approval eligibility.**
Experience: **Minimum of 5+ years of direct compliance experience within a regulated financial institution, brokerage, or investment firm in the UAE.**
Regulatory Expertise: **Deep, verifiable knowledge of UAE SCA rules, regulations, and operational guidelines.**
Core Competencies: **Mastery of AML, KYC onboarding architectures, sanctions screening protocols, and macro-level risk management methodologies.**
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