Interim Compliance Officer - DIFC

Location : Dubai
Post Date :

Description :

Interim Compliance Officer - DIFC

The Company

Our client, an international asset management, is looking for an experienced compliance manager to join their team on an interim basis, for an experienced period of around 6 months. This role would suit an experienced compliance manager who is immediately available, looking for a temporary position, or looking for the opportunity to move away from a consultancy firm and gain experience with an asset manager.

The Role

  • Reporting directly to the regional SEO & Director of Legal & Compliance, also working with international colleagues and management where necessary.
  • Provide guidance and assistance to all regional team members with regard to developments in rules and regulations related to investments, operational risk, brokerage & dealing.
  • Manage compliance according to the Policies and Procedures Manual, with a particular emphasis on insider dealing, market abuse, PA dealing, trade allocations, best execution, AML & bribery.
  • Manage compliance problems by implementing best practice and taking preventative action.
  • Act as interim key point of contact with DFSA, ensure timely reporting to DFSA.
  • Ensure company documentation submitted to DIFC in a timely manner.
  • Work with international colleagues in HQ with respect to KYC and AML for onboarding of new clients.
  • Provide support to Internal Audit team where necessary.

The Candidate

  • Minimum of 3-4 years' experience as a compliance officer/manager, within the asset management, investment, brokerage, or banking sector.
  • In depth knowledge of DFSA and DIFC rules and regulations
  • Preferably experience as a nominated individual for DFSA reporting
  • Analytical and good attention to details
  • Confident communicator, able to report to and communicate to senior management and stakeholders within the business
  • Ability to work with international management as well as a small regional team

To apply for this role please send a word format copy of your CV. Candidates should be available to start the role in October, and able to work on an interim basis of 6 months, with the flexibility should it be necessary to extent by 1-2 months.

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

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