Senior Compliance Officer Investments
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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 firms reputation and ensuring all activities align with regulatory and internal policy requirements.
- 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 uptodate 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.
- Indepth knowledge of local and international regulatory frameworks impacting investment portfolios.
- Handson experience with regulatory reporting compliance monitoring and risk assessments in the investment space.
- Excellent attention to detail with strong analytical and problemsolving skills.
- Excellent communication skills in English (Arabic is an advantage).
- Proactive collaborative mindset with the ability to engage crossfunctional teams effectively.
- Professional certifications such as ICA ACAMS or similar would be a strong advantage.
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Employment Type
Full Time
