Compliance Manager, Investments

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Aston Carter
Dubai, United Arab Emirates
Employment Type:
Full time
Private Banking & Wealth Management
Sub Sector:
Client Relations
Position Type:
Job Reference:
Date Added:

Job Description

My client, a major banking group in the UAE are currently looking for a 'Compliance Manager, Investments within their Private Banking/Wealth Management segment.

The job holder is responsible for managing 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. The role also 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. In addition, the role will provide support in collating information for updating guidelines/processes and maintaining the relevant approval and correspondence files and the pertinent Management Information for record keeping purposes. The role will also provide support during all inspections and audits (internal and external). The role will facilitate the rolling out of the annual Investment Compliance training(s) across the Business Unit.

My client is a very reputable banking group within the UAE and the role holds great prospect for growth with a view to set up a team and become head of the department.

Very competitive remuneration package on offer with benefits included, the exact figure will depend on the level of experience and qualification related to the job requirements.

Allegis Group Limited and Aston Carter Limited operate Employment Businesses and Agencies and are companies within the Allegis Group Inc. group of companies, the fourth largest staffing company in the world, (collectively referred to as the "Allegis Group"). TEKsystems and Aerotek are divisions of Allegis Group Limited. Applicant data will be treated in accordance with the Allegis Group's Privacy Notice By submitting personal data to any company or division within the Allegis Group, the applicant is providing explicit consent to the use of such data by the Allegis Group and to the transfer of such data to and from the Allegis Group companies within the UK, Europe and outside the European Economic Area in connection with the fulfilment of the applicant's voluntary requests, and the fulfilment of other job opportunities that match the applicant's profile, and confirms that they may be contacted about such job opportunities.