Compliance Officer (UAE National) - DIFC
About This Role
Compliance Officer (Fixed-Term Contract)
Global Corporate & Investment Banking – DIFC Branch
Location: Dubai, UAE (DIFC)
Reporting Line: Chief Compliance Officer
Contract Type: 1-Year Fixed-Term Contract (FTC)
Role Purpose
As the Compliance Officer (CO), you will serve as the central subject matter expert for all Regulatory Compliance, Financial Security, and KYC-related matters for our DIFC branch. You will ensure that all business activities remain in strict alignment with Global Group Policies, UAE Federal Laws, and the DFSA Rulebook, maintaining our reputation as a leader in ethical banking.
Core Responsibilities
1. Regulatory Compliance & AML Oversight
DFSA Liaison: Act as the primary point of contact for the Dubai Financial Services Authority (DFSA) and relevant UAE Federal authorities.
AML Management: Oversee the day-to-day adherence to AML policies, systems, and controls.
Reporting: Lead the identification, investigation, and submission of Suspicious Activity Reports (SARs) via the GoAML portal.
Regulatory Watch: Maintain a comprehensive repository of evolving laws and ensure internal manuals are updated annually to reflect regulatory shifts.
2. Financial Security & Client Due Diligence (KYC/CDD)
High-Risk Advisory: Provide expert guidance to Business Lines and Client Lifecycle Management teams regarding KYC, KYI, and KYX processes.
Risk Decisioning: Render formal decisions on complex files, including PEPs, sanctioned jurisdictions, and opaque corporate structures.
Strategic Committees: Actively contribute to the Client Acceptance Committee (CAC) and New Activity/Product Committees (TAC/NAC).
Sanctions Monitoring: Oversee transaction monitoring against Global, Local, and OFAC sanctions lists.
3. Market Integrity & Professional Ethics
Ethics Framework: Manage policies regarding Personal Account Dealings, Gifts & Hospitalities, and Conflicts of Interest.
Surveillance & Investigations: Conduct investigations into ethical breaches and assist in the retrieval/analysis of electronic communications for audit purposes.
4. Protection of Client Interests (PIC)
Product Governance: Validate that new banking products and marketing materials comply with local conduct of business rules.
Complaint Resolution: Investigate client complaints related to compliance or professional conduct.
Risk Assessments: Contribute to the RCSA (Risk and Control Self-Assessment) and independent testing frameworks.
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