Senior Compliance Officer - Abu Dhabi - Black Pearl Consult

    Black Pearl Consult
    Black Pearl Consult Abu Dhabi

    1 week ago

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    Description

    A reputable investment firm in Abu Dhabi seeks a Senior Compliance Officer to lead and enhance its compliance framework. This role is pivotal in ensuring adherence to regulatory requirements and internal policies while also fostering a culture of compliance across the organization.

    Key Responsibilities:

    • Compliance Awareness & Training:

      • Raise awareness of compliance matters within the organization.
      • Prepare and update training presentations to ensure staff are informed of current compliance standards and practices.

    • Policy & Procedure Management:

      • Collaborate with the Compliance team to prepare and update policies as required.

    • Due Diligence & Investment Review:

      • Attend Due Diligence Committee meetings providing feedback on new investments in line with established guidelines.
      • Conduct guideline checklist reviews background checks and reputational risk assessments.

    • AML & Regulatory Response:

      • Respond promptly to AML requests from counterparties.
      • Address internal and external enquiries regarding operational compliance including AML and classification issues.

    • Committee Support & Action Implementation:

      • Implement actions arising from various committees (e.g. Investment Operations Committee Benchmark and Investment Guidelines Committee).
      • Prepare and present reports for the Investment Operations Committee escalating issues or breaches and recommending corrective measures.
      • Maintain the internal breaches register accurately and on time.

    • Compliance Monitoring & Filings:

      • Execute regular compliance monitoring programs and liaise with investment departments to ensure tasks are completed and issues are addressed.
      • Prepare routine and ad hoc regulatory filings coordinating with external parties to meet deadlines.

    • Confidentiality & Document Review:

      • Review documents for potential nonpublic information concerns including NDA reviews and propose followup actions.
      • Update restricted stock lists and supporting records to ensure sensitive information remains protected.

    • Code of Conduct & Research:

      • Conduct discreet code of conduct reviews to identify and address areas of weakness.
      • Assist with compliance research on best practices regulatory requirements and system improvements.

    • Project Participation:

      • Engage in projects aimed at automating and streamlining manual compliance functions.

    • Additional Duties:

      • Perform other related tasks as assigned.

    Requirements:

    • Strong academic background with a proven track record of excellence.
    • A minimum of 8 years of compliance/legal experience in financial institutions.
      • In-depth understanding of risks in financial institutions including asset management private equity public markets anti-money laundering and anti-bribery legislations.
      • Sound knowledge of investment products and regulatory filing requirements.
      • Demonstrated ability to manage compliance initiatives and work effectively with cross-functional teams.
      • Strong analytical communication and problem-solving skills.
      • Relevant legal or compliance certifications and qualifications are preferred.
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