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Compliance Manager - Investments    

  • Negotiable
  • Robert Walters
  • Compliance/Legal | Compliance Regulatory
  • Dubai
  • United Arab Emirates
  • 17/07/2017

Job Purpose:

To manage the monitoring review function ensuring that the necessary Investment Compliance monitoring framework is in place covering all segments to cover relevant policies, monitoring, reporting and training in order to ensure that the applicable UAE Central Bank (CB) and Securities and Commodities Authority (SCA) requirements are met.

Job Contents:

The Compliance Manager entails ensuring that the periodic regulatory Investment monitoring reviews are undertaken timely, maintain departmental reports for record-keeping purposes, follow up / track and report on any non-compliance related issues.

To review new investment products from a Compliance perspective before being submitted to the Consumer Wealth Management Investment Committee.

Products include: Funds and Structured Products, Private Equity Funds, Real Estate Funds, Direct Investment opportunities and any other investment product as appropriate.

Ensure execution of the Monitoring Review Plan in respect of the Investment Offerings.

Reviewing the Compliance Monitoring Programme and identifying further monitoring needs/shortcomings or areas of improvement in existing monitoring plan as well as the process where applicable from Investment compliance perspective.

Desired Candidate Profile:

The Compliance Manager will have at least 10 years compliance experience in the financial services industry and same field. UAE banking / regulatory experience preferred.

Strong knowledge in Investment products

Good understanding and awareness of regulatory requirements, international best practice, especially the UAE Central Bank and ESCA requirements.

The incumbent will have a degree education as minimum, preferably a post graduate qualification

Compliance qualifications from an internationally recognized body is desirable like ACAMS, International Compliance Association certifications / diploma, etc.

If you feel your profile matches the criteria and you are interested to make an application, please apply today by submitting your CV. You can also follow up with Patricia De Guzman at Robert Walters - Dubai or send your updated CV to patricia.deguzman@robertwalters.com

 
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