Compliance Manager

Status message

This job has expired. Search for other opportunities.
Location : Dubai
Post Date :

Description :

OBJECTIVE / PURPOSE OF THE ROLE

  • To support the Head of Legal & Regulatory to deliver the business plan in accordance with legal and regulatory requirements.
  • To be responsible for providing strategic legal advice to the businesses of the Group and its subsidiaries and ensure daily legal support.
  • To be responsible for compliance of the firm with applicable legal and regulatory requirements, including CDD, AML and conduct of business issues.

DUTIES AND RESPONSIBILITIES

  • Manage the firms' strategic and legal documentation.
  • Act as Company and Executive Management Committee Secretary and monitor overall corporate governance as detailed in the Corporate Governance Framework.
  • Participate in negotiating, reviewing and drafting all required business unit agreements.
  • Advise business units on contractual issues, regulations and legal provisions.
  • Conduct legal due diligence on transactions entered into by the firm, in accordance with industry best practice.
  • Provide internal training on legal and regulatory topics for the business to keep abreast of regulatory issues and to enhance individual ownership of risk and fiduciary responsibilities.
  • Conduct KYC and DD on clients and business partners.
  • Conduct compliance reviews of the firm, identify and flag potential issues and create/implement remedial plans.
  • Draft compliance policies of the firm.
  • Maintain the filing system and ensure that all compliance and legal documents are updated and available for review on short notice.

REQUIREMENTS AND EXPERIENCE

Reporting to the Head of Legal & Regulatory, we seek a Legal & Regulatory Manager who has:

Direct experience with Legal/Regulatory/Compliance aspects of DFSA authorized financial services institutions (preferably Asset Management and Investment Banking firms). It would be beneficial if the candidate currently is a DFSA authorised Compliance and Money Laundering Reporting Officer.

Direct experience in drafting of the following Documents:

  • Policies and Procedures Manuals and Compliance Monitoring Programs;
  • Funds documentation;
  • Offering Memorandums, Custody Agreements, Administration Agreements;
  • Auditor Engagement Agreements, Investment Management Agreements, Investment Advisory Agreements;
  • Introducer Agreements, Distribution Agreements, and Placement Agreements;
  • Non-Disclosure Agreements;
  • Account Opening Agreements (and client take on documentation);
  • Employment Agreements
  • Direct experience in supporting/organizing appropriate corporate governance work including Board/Director minutes and Board/Director resolutions.
  • Excellent spoken and written English skills.
  • Three to five years' legal/regulatory/compliance experience in a DFSA authorized firm. Experience in an asset management/investment banking firm will be highly regarded.
By applying to this job you are agreeing to our Terms of Use
Print

Dubai

Dubai International Financial Centre (DIFC)
Gate Village 1, Level 1
Dubai
Phone : +971 (0) 4 382 6700

Similar Jobs