Senior Compliance Manager

TBC

Mission / Outcome

• Act as a trusted outsourced Compliance Officer and MLRO.

Success Metrics / Measures

• Timely execution of compliance deliverables; clients’ regulatory obligations consistently met. Effective communication with Regulators.

Mission / Outcome

• Deliver high-quality Regulatory Compliance and AML services to clients.

Success Metrics / Measures

• Applications submitted on schedule; licenses obtained with minimal Regulator queries or rejections.
• Positive client feedback on compliance support. No material regulatory breaches or audit findings.

Mission / Outcome

• Develop and implement robust Compliance and AML frameworks and training programs.

Success Metrics / Measures

• Policies aligned with regulatory requirements; Regular AML and Compliance training conducted, resulting in improved Compliance awareness among Clients.

Mission / Outcome

• Audit, monitor, and improve compliance processes.

Success Metrics / Measures

• Regular compliance reviews completed; identified gaps addressed with corrective action; internal controls strengthened.

Mission / Outcome

• Manage and expand the compliance client portfolio while supporting business growth across the Region.

Success Metrics / Measures

• New business opportunities identified and supported. Strengthened client retention and satisfaction.
• Growth in brand visibility and market presence.

Mission / Outcome

• Continuously improve compliance and AML/CTF systems.

Success Metrics / Measures

• Implementation of new processes, tools, or automation; measurable reduction in compliance risks; adoption of industry best practices.

Mission / Outcome

• Strengthen business development and client engagement.

Success Metrics / Measures

• New client acquisitions; increased market share and revenue from compliance services; successful representation at industry events.

Mission / Outcome

Success Metrics / Measures

• Positive internal and external stakeholder feedback.
• Support in recruitment and retention initiatives.
• Active mentorship and knowledge sharing within the team; strong promotion of JAP brand and culture.

Key Responsibilities

• Provide ongoing compliance and AML support to clients.
• Draft, implement, and manage compliance and AML frameworks.
• Ensure adherence to local and international regulatory requirements.

Success Indicators

• Compliance deliverables completed on time.
• Policies and procedures aligned with latest laws.
• No material compliance issues.

Key Responsibilities

• Coordinate internal/external audits.
• Conduct compliance reviews and spot checks.
• Identify and remediate control weaknesses.

Success Indicators

• Compliance reviews completed on schedule.
• Gaps addressed with corrective action.
• Strengthened internal controls.

Key Responsibilities

• Deliver training on compliance, AML, and governance topics.
• Build client awareness of emerging regulations and risks.

Success Indicators

• Client confirmation of delivery of effective and timely training.
• Full client participation (for required roles), with positive participant feedback.
• Evidence of delivery of relevant updates to enhance client awareness.

Key Responsibilities

• Contributing to the Firm’s success by supporting the senior team in executing client mandates, helping with the origination of new business, and representing the Firm at industry and promotional events.

Success Indicators

• Positive feedback from senior team. New business opportunities identified and supported. Active participation in events.

Key Responsibilities

• Communicate compliance risks and obligations to senior management.
• Foster relationships with stakeholders, auditors, regulators, and clients.
• Represent consultancy professionally.

Success Indicators

• Effective risk communication.
• Strong stakeholder relationships; professional representation at all levels.

Key Responsibilities

• Stay updated on regulatory developments.
• Refine compliance/AML systems, processes, and training.
• Implement best practices.

Success Indicators

• Implementation of improved processes/tools.
• Measurable reduction in compliance risk.
• Adoption of industry best practices.

Key Responsibilities

• Promote J. Awan & Partners' culture and brand. Support talent attraction and retention. Coach and mentor junior team members.

Success Indicators

• Positive internal engagement scores. Contribution to team development initiatives. Evidence of mentorship and knowledge sharing.

Core Competencies

• **Regulatory Expertise & Strategic Mindset:**
• Demonstrable experience engaging with regulatory authorities across the region, with the ability to design and implement compliance programs that mitigate risk and drive organisational effectiveness.
• **Operational Excellence:**

Experience

• d in executing compliance and AML programs efficiently, ensuring high-quality deliverables and adherence to deadlines across multiple client mandates.
• **Analytical & Problem-Solving Skills:**
• Exceptional capability to analyse complex regulatory issues, interpret requirements, and translate them into actionable, fit-for-purpose solutions.
• **Integrity & Accountability:**
• Upholds the highest professional and ethical standards, maintains confidentiality, and demonstrates reliability and accountability in all activities.
• **Stakeholder Management & Cultural Agility:**
• Skilled at building partnerships and influencing clients, regulators, and internal teams, with the adaptability to work effectively across diverse organisations and cultural contexts.

Role-Specific Competencies

• **Compliance & AML Expertise:**
• Hands-on experience designing, implementing, and overseeing regulatory compliance and AML frameworks within financial services, with proven ability to manage obligations across applicable regulatory regimes including but not limited to DFSA, ADGM, QFCRA, FCA, and CMA.
• **KYC & Regulatory Delivery:**
• Proven KYC and due diligence capability including risk classification and SLA-driven delivery, with the ability to translate evolving regulatory requirements into practical, fit-for-purpose policies and procedures.
• **Organisation & Execution:**
• Strong ability to manage multiple compliance projects and competing deadlines simultaneously, working independently under pressure while maintaining accuracy and quality of delivery.
• **Stakeholder & Communication Skills:**
• Exceptional oral and written communication skills for effective interaction with clients, regulators, and senior leadership, with strong interpersonal skills to build and maintain productive working relationships.

Education

• Bachelor’s degree in Law, Finance, Economics, or Accountancy.

Experience

• Significant demonstrable experience in dealing with regulatory authorities within the Region.
• Minimum 8 years overall industry experience, with at least 4 years in Compliance roles within Financial Services. Direct experience in developing and implementing compliance programs is essential.
• Direct experience in creating and implementing regulatory compliance programs within a successful financial services organization.

Additional Requirements

• CAMS, CISI, or ICA qualifications preferred. Strong written and verbal communication skills in English; additional languages are a plus.