Compliance Officer (UAE National)

Overview

Compliance Officer (Fixed-Term Contract)

Role Purpose

Compliance Officer (Co)

Global Group Policies

Uae Federal Laws

Dfsa Rulebook

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)

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

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)

Minimum Qualifications

• **Education:**
• Bachelor’s degree from an accredited university.
• **Experience:**
• 3+ years
• in financial services with a specialized focus on Financial Security (KYC, AML, Sanctions, and Anti-Bribery & Corruption).
• **Technical Expertise:**
• Deep familiarity with diverse legal structures, including
• Trusts, PIVs, and complex Corporate vehicles
• .
• **Soft Skills:**
• High level of discretion, strong time management, and the ability to navigate high-pressure environments.

Preferred Qualifications

• **Certifications:**

Cams

Ica Diploma

• in Anti-Money Laundering.
• **Industry Context:**
• Prior experience within

Wealth Management

Mea And Dfsa

Key Contributions & Impact

• Cultivating a robust

Compliance Culture

• through targeted workshops and employee training.
• Proposing technical enhancements to internal automated AML testing systems.
• Collaborating with Permanent Control Officers to bridge the gap between policy and operational implementation.