Compliance Manager

Status message

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

Description :


  • 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.


  • 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.


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


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

Similar Jobs