Senior Compliance Officer – Investment

Job description / Role

A reputable investment firm in Abu Dhabi is seeking a Senior Compliance Officer – Investment 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. The ideal candidate will have strong academics, extensive experience in compliance and legal roles, and a robust understanding of the risks associated with financial institutions.

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.
• oMaintain the internal breaches register accurately and in a timely manner.

Compliance Monitoring & Filings:
• Execute regular compliance monitoring programmes 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 non-public information concerns, including NDA reviews, and propose follow-up 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.

To be considered on this, you need to meet the following criteria:

Academic & Professional Excellence:
• Strong academic background with a proven track record of excellence.
• A minimum of 8 years of compliance/legal experience in financial institutions.

Industry & Regulatory Expertise:
• 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.

Skills & Competencies:
• 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.

Important notice: Black Pearl will never ask for any payments from its candidates. All of our active jobs are posted on our website.

About the Company

Black Pearl is a human resources and recruitment agency that provides a holistic business and talent solution in a progressive, dynamic, and efficient way.

We pride ourselves as a unique black pearl and strive to delight our clients with a personalized partnership that helps them propel towards success.

Whether you need to find top talent, your next great job opportunity, or a consulting solution for managing your business, engaging employees, evolving your work culture, planning your people strategy, or resourcing challenges, we can help.