Compliance Associate

Wisayah Investment Company; Dhahran Compound; On-site; SAR 200,000 - 350,000; Full time

Job summary

Wisayah Investment Company is seeking a Compliance Associate to support the Compliance & Business Ethics function, ensuring adherence to applicable laws, regulations, and internal requirements with a primary focus on investment compliance.

The role includes conducting compliance reviews, monitoring investment activities, preparing regulatory updates and reports, and assisting in policies, training, and records management, while collaborating with internal stakeholders to uphold ethics and

Qualifications

• Bachelor's or Master's degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related discipline.
• Professional certifications in investments, compliance, governance, risk management, or related disciplines are an advantage.
• Minimum 5 years of relevant experience in investment compliance, asset management, investment operations, financial services compliance, risk management, internal audit, or a related field.
• Experience within an investment management company, asset manager, investment firm, pension fund, sovereign wealth fund, or other regulated financial institution is strongly preferred.
• Demonstrate understanding of investment products, financial markets, portfolio management concepts, and regulatory requirements applicable to investment activities.

Responsibilities

• Support the execution of the organization's compliance and business ethics program.
• Conduct compliance reviews and monitoring activities to assess adherence to regulatory and internal requirements.
• Assist in monitoring investment activities and ensuring compliance with applicable investment guidelines and regulatory obligations.
• Review and assess compliance matters related to investment products, mandates, and financial market activities.
• Support regulatory assessments and the implementation of regulatory developments impacting the organization.
• Assist in preparing compliance reports, management updates, and regulatory communications.
• Support the development, maintenance, and periodic review of compliance-related policies and procedures.
• Assist in the management of compliance records, disclosures, and documentation.
• Support employee awareness and training initiatives relating to compliance and business ethics.
• Collaborate with internal stakeholders to provide compliance guidance and support business objectives.

Skills

Investment management

Financial markets

Regulatory frameworks

Analytical thinking

Regulatory interpretation

Report writing

Attention to detail

Professional judgment

Stakeholder engagement

Education

Finance degree

Economics degree

Accounting

Law

Business Administration

Compliance/Governance certs

Job description

The Compliance Associate supports the Compliance & Business Ethics function in ensuring compliance with applicable laws, regulations, and internal requirements, with a primary focus on investment compliance. The role assists in monitoring investment activities, supporting regulatory compliance initiatives, conducting compliance reviews, and contributing to the promotion of a strong culture of ethics, integrity, and accountability across the organization.

Responsibilities

• Support the execution of the organization's compliance and business ethics program.
• Conduct compliance reviews and monitoring activities to assess adherence to regulatory and internal requirements.
• Assist in monitoring investment activities and ensuring compliance with applicable investment guidelines and regulatory obligations.
• Review and assess compliance matters related to investment products, mandates, and financial market activities.
• Support regulatory assessments and the implementation of regulatory developments impacting the organization.
• Assist in preparing compliance reports, management updates, and regulatory communications.
• Support the development, maintenance, and periodic review of compliance-related policies and procedures.
• Assist in the management of compliance records, disclosures, and documentation.
• Support employee awareness and training initiatives relating to compliance and business ethics.
• Collaborate with internal stakeholders to provide compliance guidance and support business objectives.

Knowledge & Skills

• Strong understanding of investment management, financial markets, and investment products.
• Knowledge of compliance and regulatory frameworks applicable to financial services.
• Strong analytical and problem-solving skills.
• Ability to review, interpret, and apply regulatory and business requirements.
• Strong report writing and communication skills.
• High attention to detail and professional judgment.
• Strong ethical standards and integrity.

Core Competencies

• Integrity and Accountability
• Investment Compliance Knowledge
• Analytical Thinking
• Attention to Detail
• Effective Communication
• Professional Judgment
• Stakeholder Management
• Results Orientation

Requirements

• Bachelor's or Master's Degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related discipline.
• Professional certifications in investments, compliance, governance, risk management, or related disciplines are an advantage.
• Minimum 5 years of relevant experience in investment compliance, asset management, investment operations, financial services compliance, risk management, internal audit, or a related field.
• Experience within an investment management company, asset manager, investment firm, pension fund, sovereign wealth fund, or other regulated financial institution is strongly preferred.
• Demonstrate understanding of investment products, financial markets, portfolio management concepts, and regulatory requirements applicable to investment activities.