Regulatory Compliance Manager - Asset Management (UAE)

Capitex; United Arab Emirates; On-site; AED 120,000 - 200,000; Full time

Job summary

A leading asset management consulting firm in the UAE is looking for a Regulatory Compliance Manager. This role involves ensuring compliance with local regulations and international standards, enhancing governance across investment management activities. The ideal candidate will have a bachelor's degree, relevant certifications, and strong experience in regulatory compliance, particularly in KYC/AML frameworks.

Qualifications

• Bachelor’s degree in Law, Finance, or related field required; postgraduate preferred.
• Professional certifications such as CAMS, ICA, or equivalent mandatory.
• Strong understanding of UAE and DIFC regulatory requirements is essential.

Responsibilities

• Ensure compliance with UAE regulatory frameworks relevant to asset management.
• Draft and implement comprehensive Compliance Manuals aligned with UAE regulations.
• Conduct internal training on compliance, AML/KYC, and regulatory responsibilities.

Skills

Regulatory compliance

KYC/AML frameworks

Stakeholder management

UAE regulatory requirements

Education

Bachelor’s degree in Law, Finance, or related field

Professional certifications such as CAMS, ICA

Job description

Regulatory Compliance Manager – Asset Management (UAE)
Location: Dubai, UAE
Experience: 5–10 years
Level: Manager / Senior Manager
Start Date: Mid-November to Early December
Reporting To: Chief Compliance Officer
Sector: Asset Management (Consulting Engagement)

Role Overview

We are seeking a Regulatory Compliance Manager to support one of our asset management clients in the UAE. The role involves ensuring adherence to local regulatory frameworks and international compliance standards, while helping enhance governance and control environments across investment management activities.

Key Responsibilities

• Ensure compliance with UAE regulatory frameworks relevant to asset management and fund distribution.
• Support license-related documentation, submissions, and engagement with local regulators.
• Act as the key liaison for regulatory approvals, renewals, and compliance queries.
• Monitor and interpret regulatory developments from the SCA, Central Bank, and other authorities, updating internal policies as required.
• Draft and implement comprehensive Compliance Manuals aligned with UAE regulations.
• Establish and maintain robust AML/CFT and KYC frameworks in line with UAE law and FATF guidance.
• Ensure compliance with FATCA, CRS, and Ultimate Beneficial Ownership requirements.
• Maintain a compliance risk register and oversee compliance monitoring plans.
• Support the design and implementation of a Distributor Oversight Framework.
• Conduct due diligence and ongoing monitoring of third parties involved in fund distribution.
• Coordinate internal audits and regulatory reporting obligations.
• Manage the Regulatory Reporting Calendar and ensure timely submissions.
• Deliver internal training on compliance, AML/KYC, and regulatory responsibilities.
• Conduct onboarding and refresher training for business teams and stakeholders.

Qualifications & Skills

• Bachelor’s degree in Law, Finance, or a related field (postgraduate preferred).
• Professional certifications such as CAMS, ICA, or equivalent.
• Strong understanding of UAE and DIFC regulatory requirements related to asset management.
• Proven experience in regulatory compliance, with exposure to KYC/AML frameworks.
• Excellent communication and stakeholder management skills.