Senior Compliance Officer – Investments

Black Pearl Consult; Abu Dhabi; On-site; AED 200,000 - 300,000; Full time

Job summary

A prestigious investment firm in Abu Dhabi is seeking a Senior Compliance Officer to oversee compliance and regulatory reporting for diverse investment activities. The ideal candidate should have 7-10 years of experience in compliance within investment management, a relevant degree, and strong analytical skills. This role includes monitoring compliance practices, conducting risk assessments, and collaborating with teams to foster a culture of compliance. Excellent communication skills in English are essential, with Arabic being advantageous. This position offers a unique opportunity to support and enhance the firm's investment compliance landscape.

Qualifications

• 7–10 years of compliance experience within investment management or financial services.
• In-depth knowledge of local and international regulatory frameworks.
• Hands-on experience with regulatory reporting and compliance monitoring.

Responsibilities

• Monitor compliance with laws and internal policies.
• Conduct compliance risk assessments and provide guidance.
• Prepare and submit accurate regulatory reports.
• Collaborate with internal teams for compliance management.

Skills

Regulatory compliance

Analytical skills

Attention to detail

Communication skills

Problem-solving

Education

Bachelor’s degree in Law, Finance, Business Administration

Professional certifications (ICA, ACAMS)

Job description

Are you an experienced compliance professional with a passion for investment operations? We are looking for a Senior Compliance Officer – Investments to join a prestigious investment firm in Abu Dhabi, playing a pivotal role in ensuring regulatory compliance across their diverse investment portfolio.

In this role, you will oversee compliance monitoring, regulatory reporting, and internal advisory for investment activities. You will act as a trusted partner to the investment and operational teams, helping safeguard the firm's reputation and ensuring all activities align with regulatory and internal policy requirements.

Key Responsibilities:

• Monitor and ensure compliance with all applicable laws, regulations, and internal policies related to investment activities.
• Conduct compliance risk assessments and provide guidance to the investment team on regulatory impacts of transactions.
• Review investment transactions and documentation to ensure legal and regulatory adherence.
• Maintain up-to-date knowledge of regional and international regulatory developments impacting investments.
• Prepare and submit accurate, timely regulatory reports and filings.
• Collaborate with internal teams (legal, operations, risk, and investment) to ensure coordinated compliance management.
• Provide training and support to promote a culture of compliance and ethical conduct.
• Support audit processes by preparing required documentation and addressing audit queries.
• Maintain comprehensive records of compliance activities and assist in developing and updating compliance policies.
• Escalate compliance risks and breaches proactively, supporting prompt resolution.

Requirements:

• Bachelor’s degree in Law, Finance, Business Administration, or a related field (Master’s or professional certification is a plus).
• 7–10 years of compliance experience within investment management, asset management, or financial services.
• In-depth knowledge of local and international regulatory frameworks impacting investment portfolios.
• Hands-on experience with regulatory reporting, compliance monitoring, and risk assessments in the investment space.
• Excellent attention to detail, with strong analytical and problem-solving skills.
• Excellent communication skills in English (Arabic is an advantage).
• Proactive, collaborative mindset with the ability to engage cross-functional teams effectively.
• Professional certifications such as ICA, ACAMS, or similar would be a strong advantage.

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