Senior Compliance Officer – Investments

Black Pearl; Abu Dhabi; On-site; AED 293,000 - 404,000; Full time

Job summary

A prestigious investment firm in Abu Dhabi seeks a Senior Compliance Officer to oversee compliance monitoring and regulatory reporting within investment operations. The role involves ensuring legal adherence during investment activities, providing training, and maintaining compliance records. Ideal candidates have a strong compliance background and knowledge of relevant regulations. This is a key position in safeguarding the firm's reputation.

Responsibilities

• Monitor and ensure compliance with applicable laws and regulations.
• Conduct compliance risk assessments and provide regulatory guidance.
• Review investment transactions for legal and regulatory adherence.
• Maintain knowledge of regulatory developments affecting investments.
• Prepare and submit regulatory reports.
• Collaborate with internal teams for compliance management.
• Provide training on compliance and ethical conduct.
• Support audit processes with documentation.
• Maintain records of compliance activities.
• Escalate compliance risks and breaches.

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.