Senior Investment Compliance Specialist

Walmart Centroid; Abu Dhabi; À distance; AED 300 000 - 600 000; Plein temps

Avantages offerts par ce poste

Fully remote work

Résumé du poste

Walmart Centroid is seeking a Senior Investment Compliance Specialist to oversee investment compliance activities, monitor portfolio restrictions, assess regulatory risks, and support adherence to internal policies and applicable financial regulations.

The role strengthens controls, conducts reviews, investigates breaches, and provides practical guidance to stakeholders across Finance, Treasury, Legal, and Risk Management. Fully remote UAE-based opportunity with global governance scope.

Qualifications

• Bachelor’s degree in Finance, Accounting, Economics, Law, Business Administration, or a related discipline.
• Relevant experience in investment compliance, financial services compliance, risk management, or investment operations.
• Strong understanding of investment products, portfolio restrictions, financial markets, and compliance monitoring.
• Familiarity with UAE financial regulations and relevant international investment compliance standards.
• Experience conducting compliance reviews, investigating exceptions, and documenting remediation actions.
• Knowledge of investment risk controls, regulatory reporting, and internal governance frameworks.
• Proficiency in Microsoft Excel, compliance monitoring tools, and financial reporting systems.
• Strong analytical, research, problem-solving, and report-writing skills.
• Excellent communication, stakeholder management, and organizational abilities.
• High standards of integrity, objectivity, confidentiality, and professional judgment.

Responsabilités

• Monitor investment activities for compliance with policies, mandates, and regulatory requirements.
• Review investment transactions, portfolio allocations, and instruments against restrictions.
• Assess compliance risks associated with products, counterparties, markets, and jurisdictions.
• Monitor portfolio concentration limits, asset allocation, exposure thresholds, and other constraints.
• Conduct pre-trade and post-trade compliance checks where applicable.
• Investigate breaches, transaction exceptions, and unusual exposures.
• Coordinate with Finance, Treasury, Risk Management, Legal, and external managers to resolve issues.
• Review investment documentation, approvals, disclosures, and supporting records for completeness.
• Support due diligence reviews of managers, brokers, custodians, and other providers.
• Monitor regulatory developments and update internal policies and procedures.

Description du poste

We're Hiring: Senior Investment Compliance Specialist

Location: United Arab Emirates (Remote)

Employment Type: Full-Time

Experience Level: Mid-Level to Senior

Work Arrangement: Fully Remote

About Us

We are a construction-focused organization committed to financial governance, operational excellence, risk management, and transparent business practices. Our multidisciplinary teams collaborate across Finance, Treasury, Commercial, Procurement, Legal, Risk Management, and Executive Leadership to maintain effective controls, support responsible financial decisions, and protect organizational interests.

The Role

We are seeking an experienced Senior Investment Compliance Specialist to oversee investment-related compliance activities, monitor portfolio restrictions, assess regulatory risks, and support adherence to internal investment policies and applicable financial regulations. The successful candidate will strengthen compliance controls, conduct investment reviews, investigate potential breaches, and provide practical guidance to relevant stakeholders.

Key Responsibilities

• Monitor investment activities for compliance with approved investment policies, mandates, and regulatory requirements.
• Review investment transactions, portfolio allocations, and proposed financial instruments against established restrictions.
• Assess compliance risks associated with investment products, counterparties, markets, and jurisdictions.
• Monitor portfolio concentration limits, asset allocation requirements, exposure thresholds, and other investment constraints.
• Conduct pre-trade and post-trade compliance checks where applicable.
• Investigate potential investment policy breaches, transaction exceptions, and unusual portfolio exposures.
• Coordinate with Finance, Treasury, Risk Management, Legal, and external investment managers to resolve compliance issues.
• Review investment documentation, approvals, disclosures, and supporting records for completeness and accuracy.
• Support due diligence reviews of investment managers, brokers, custodians, and other financial service providers.
• Monitor regulatory developments affecting investment activities and recommend updates to internal policies and procedures.
• Maintain compliance registers, breach logs, risk assessments, and remediation records.
• Prepare periodic compliance reports covering investment exposures, policy exceptions, monitoring results, and corrective actions.
• Support internal audits, external audits, regulatory examinations, and compliance testing.
• Assist with the development and implementation of investment compliance frameworks and monitoring controls.
• Evaluate compliance monitoring systems and recommend improvements to reporting, automation, and exception management.
• Provide compliance guidance to stakeholders involved in investment decisions and financial transactions.
• Escalate material breaches, emerging risks, and unresolved compliance concerns through established governance channels.
• Maintain confidentiality when handling investment strategies, portfolio information, financial records, and sensitive business data.
• Perform other investment compliance, financial governance, and risk management duties as assigned by management.

Qualifications and Experience

• Bachelor's degree in Finance, Accounting, Economics, Law, Business Administration, or a related discipline.
• Relevant experience in investment compliance, financial services compliance, risk management, or investment operations.
• Strong understanding of investment products, portfolio restrictions, financial markets, and compliance monitoring.
• Familiarity with applicable UAE financial regulations and relevant international investment compliance standards.
• Experience conducting compliance reviews, investigating exceptions, and documenting remediation actions.
• Knowledge of investment risk controls, regulatory reporting, and internal governance frameworks.
• Proficiency in Microsoft Excel, compliance monitoring tools, and financial reporting systems.
• Strong analytical, research, problem-solving, and report-writing skills.
• Excellent communication, stakeholder management, and organizational abilities.
• High standards of integrity, objectivity, confidentiality, and professional judgment.

Preferred Certifications

• Chartered Financial Analyst (CFA)
• Certified Compliance and Ethics Professional (CCEP)
• Financial Risk Manager (FRM)
• Relevant investment compliance, regulatory compliance, or financial markets certifications

Key Performance Indicators (KPIs)

• Accuracy and timeliness of investment compliance monitoring.
• Effectiveness of investment restriction and breach detection controls.
• Timeliness of investigation and remediation of compliance exceptions.
• Compliance with internal investment mandates and applicable regulations.
• Quality of compliance reporting and audit documentation.
• Reduction in recurring breaches and control deficiencies.
• Timely implementation of regulatory and policy updates.

What We Offer

• Competitive compensation based on experience and qualifications.
• Fully remote working arrangements.
• Opportunities to strengthen investment governance and compliance controls.
• Collaboration with multidisciplinary teams supporting international projects.
• Professional development and continuous learning opportunities.
• A supportive environment that values integrity, accountability, and continuous improvement.