Compliance Manager - CMA Regulated

OX Human Resources Consultancies; Dubai; On-site; AED 180,000 - 300,000; Full time

Job summary

OX Human Resources Consultancies in Dubai seeks a Regulatory Compliance expert to lead the UAE regulatory program and ensure alignment with CMA rules and UAE requirements.

You will monitor developments, advise senior management, and coordinate with Legal, Risk, Finance and Operations to maintain governance and robust controls.

Qualifications

• Bachelor-level degree in a related field as stated.
• Minimum 5+ years of compliance experience in financial services or regulated environments.
• Strong knowledge of UAE regulatory requirements and CMA rules.
• Experience with AML/CFT, KYC, sanctions and financial crime controls.

Responsibilities

• Maintain and continuously develop the company's compliance framework.
• Monitor regulatory developments and assess impact on business.
• Provide practical regulatory advice to senior management.
• Ensure activities align with regulatory requirements and internal standards.
• Support regulatory applications, submissions and inquiries.
• Assist with regulatory examinations, audits and information requests.

Skills

Regulatory knowledge

AML/CFT expertise

KYC & sanctions

Risk management

Stakeholder management

Analytical thinking

Communication skills

Independent work

Regulatory reporting

Education

Bachelor's degree in Law, Finance, Business, Compliance, Risk Management

Job description

Regulatory Compliance

• Maintain and continuously develop the company's compliance framework in line with applicable UAE regulatory requirements and CMA rules and regulations.
• Monitor regulatory developments and assess their impact on the company's business, products, policies and procedures.
• Provide practical regulatory advice to senior management and relevant business functions.
• Ensure the company's activities remain aligned with applicable regulatory requirements and internal compliance standards.
• Support regulatory applications, notifications, submissions and ongoing regulatory correspondence where required.
• Assist with regulatory examinations, inspections, audits and information requests.

Compliance Monitoring & Risk

• Develop and execute a risk-based compliance monitoring and testing programme.
• Conduct regular compliance reviews across business activities, processes and controls.
• Identify regulatory and compliance risks and recommend appropriate remediation measures.
• Track compliance issues, action plans and remediation activities through to completion.
• Prepare regular compliance reports and updates for senior management and relevant committees.
• Maintain appropriate compliance records, registers and documentation.

AML / CFT & Financial Crime

• Support the implementation and ongoing effectiveness of the company's AML/CFT and financial crime compliance framework.
• Work closely with relevant stakeholders on customer due diligence, enhanced due diligence, sanctions screening and transaction monitoring requirements.
• Assist with the review and escalation of potentially suspicious or unusual activity in accordance with applicable requirements.
• Support AML/CFT risk assessments and periodic reviews of relevant policies and controls.
• Ensure appropriate regulatory reporting and escalation processes are followed.

Policies & Procedures

• Develop, review and update compliance policies, procedures and internal controls.
• Ensure regulatory requirements are effectively translated into practical business processes.
• Provide compliance guidance to internal teams on new products, processes, campaigns and business initiatives.
• Conduct compliance reviews of marketing and client-facing materials where required.
• Maintain an up-to-date regulatory obligations framework.

Training & Compliance Culture

• Deliver compliance and regulatory training to employees.
• Promote a strong culture of regulatory awareness and ethical conduct across the organisation.
• Provide ongoing guidance to business teams regarding compliance obligations and best practices.

Stakeholder Management

• Work closely with senior management, Legal, Risk, Operations, Finance, HR, Sales and other business functions.
• Act as a key compliance point of contact for internal stakeholders.
• Liaise with external advisers and regulatory bodies where required.
• Support the Head of Compliance in maintaining effective governance and regulatory relationships.

Requirements

• Bachelor's degree in Law, Finance, Business, Compliance, Risk Management or a related discipline.
• 5+ years of relevant compliance experience within financial services, investment firms, brokerage, banking, fintech or a similarly regulated environment.
• Strong knowledge of UAE regulatory requirements, preferably with direct experience working with CMA-regulated entities.
• Experience in regulatory compliance, compliance monitoring and risk-based compliance frameworks.
• Strong understanding of AML/CFT, KYC, sanctions and financial crime controls.
• Experience preparing compliance reports, policies, procedures and regulatory submissions.
• Experience dealing with regulators, regulatory inspections, audits or regulatory information requests is highly desirable.
• Strong understanding of governance, risk and internal control frameworks.
• Excellent analytical, communication and stakeholder-management skills.
• Ability to work independently and manage multiple compliance priorities in a fast-paced environment.