Senior Compliance Officer – Investments

Black Pearl; Abu Dhabi; On-site; USD 60,000 - 90,000; Full time

Job summary

A prestigious investment firm in Abu Dhabi is seeking a Senior Compliance Officer to ensure regulatory compliance across their investment portfolio. The role entails overseeing compliance monitoring, advisory functions, and collaboration with internal teams to maintain high compliance standards and safeguard the firm's reputation.

Qualifications

• Experienced compliance professional with knowledge in investment regulations.
• Strong analytical skills and detail-oriented.
• Ability to provide guidance on regulatory impacts.

Responsibilities

• Monitor compliance with laws and internal policies related to investments.
• Conduct compliance risk assessments.
• Prepare regulatory reports and filings accurately.

Skills

Regulatory Knowledge

Compliance Monitoring

Risk Assessment

Training and Support

Education

Relevant compliance qualification

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.

Compliance Officer • Abu Dhabi, United Arab Emirates