Compliance Manager - Wealth Management

Job description / Role

Inspire Selection is recruiting a Compliance Manager for an independent Finance & Wealth Management company in Dubai, run by British Partners.

The position would suit an IFA who wants to make the move into a Compliance Manager role. Exams and training will be provided.

Responsibilities:
• Ensure the Board of Directors and employees are in compliance with the rules and the regulations of the relevant regulatory bodies, that the company’s policies and procedures are being followed, and that the behaviour within the organisation meets the company’s standards of conduct.
• Reports directly to the Board of Directors, by monitoring and reporting results of the compliance/ethics of the company and in providing guidance for the Board on matters relating to compliance
• Develop, initiate, maintain, and revise policies and procedures
• Develop the Standards of Conduct to ensure the company continues to operate within the regulatory requirements and new legislation
• Identify potential areas of compliance vulnerability and risk;
• Ensure proper reporting of violations or potential violations to the Board
• Provide reports on a regular basis
• Ensure that all regulatory requirements of the relevant authorities are met at all times.
• Manage relationships with business partners, product providers and fund managers
• Work closely with the Investment Team to prepare the switch forms to reflect the new quarterly asset allocation and fund choices, prepare the new portfolio sheets, create quarterly asset allocation email document
• Remain up to date with the industry and products

Requirements

• Native English speaker
• Currently living in Dubai
• Industry Qualifications – Dip PFS or at least Cert PFS
• Industry experience of 3 Years (minimum)
• Compliance experience of at least one 1 Year (desirable)
• Good with computer systems and competent user of Microsoft Office
• Salesforce experience (desirable)
• Smartly dressed and presented
• Assertive
• Proactive
• Well-organised and efficient
• Self-motivated
• Reliable, honest and trustworthy
• Ability to build long standing relationships
• Have polished communication skills – able to conduct presentations and training sessions
• Willing to develop in the role within a growing business
• Willing to study and sit UAE regulatory exams from the outset whilst working full time.

Salary AED 15k / month

About the Company

Inspire Selection is an award winning recruitment agency, headquartered in Dubai which recruits across the Middle East region. We employ highly knowledgeable, professional consultants who are experts in connecting the right people with the right opportunities. Our reputation has been built upon our honesty, integrity and our ability to source candidates of the highest calibre right across our specialist sectors. As a result, we are recruitment partners to a wide spectrum of organisations - from leading blue chip companies to smaller, local businesses. Sectors we cover include HR, Administration, Finance & Accounting, Legal, Sales & Marketing including Digital Marketing, IT, Oil/Gas/Energy, Engineering, Procurement, Manufacturing, Higher Education.