Compliance Associate

Firm Overview:

Lunate is an Abu Dhabi-based, partner-led, independent global alternative investment manager with more than 200 employees and $105 billion of assets under management. Lunate invests across the entire private markets spectrum, including buyouts, growth equity, early and late-stage venture capital, private credit, real assets, and public equities and public credit. Lunate aims to be one of the world’s leading private markets solutions providers through SMAs and multi-asset class funds, seeking to generate best-in-class risk-adjusted returns for its clients.

Role Overview:

Primary role involves ensuring Lunate and associated entities are compliance with relevant laws, regulations, and guidelines set forth by regulatory authorities.

Key Duties & Responsibilities:

• Assist in the formulation and assessment of the monthly, quarterly and half yearly regulatory reporting requirements for the SCA Supervision and Funds Team.

• Attend any SCA regulatory meetings along with the Head of Compliance / Compliance Manager / Compliance Officer.

• Translate the key regulatory circulars and notices issued by the SCA.

• Assist in the creation or updating of various Compliance policies and procedures in conjunction with the SCA rules and regulations.

• Assist in the formulation of regulatory responses to SCA.

• Assist in the formulation of ADX / DFM and/or any other stock exchange responses from a regulatory perspective.

• Assist in the SCA inspection requirements of the Company.

• Assist the Compliance Officer in undertaking various Compliance Audits for the Company in accordance with the SCA rules and regulations.

• Assist the Compliance Officer in carrying out the Compliance Monitoring Programme of the Company.

• Prepare and/or assist in the various disclosure requirements for ADX and DFM in relation to publicly listed entities or publicly listed funds.

• Assist in the Internal Audit requirements and inspection for the Company.

• Assist in the regulatory training requirements for the Company employees and the Board of Directors.

• Assist in the monitoring and inspection/testing of the various Departments controls in place.

• Assist in the record keeping requirements as per SCA rules and regulations.

• Review and/or submit various SCA applications as required in the SCA Core Portal.

• Review and/or submit various SCA / ADX / DFM application requirements with the respective authorities.

• Assist in the submission of FATCA, CRS and ESR filings for the Company.

• Assist in the review of the various marketing materials and presentations issued publicly and advise the Compliance Officer of such changes.

• Coordinate with the various departments on the regulatory requirements.

• Coordinate internally with the various teams in Compliance for any regulatory or operational compliance requirements.

Qualifications & Experience:

• CISI Certifications in Compliance is preferred (Not an absolute must) or Bachelor's degree in Law, Finance or Business Administration.

• Minimum of 4 years of experience in a compliance role within the financial services industry, preferably in a multi-asset investment firm.

• Must possess good knowledge of SCA rules and regulations, and the local markets rules and guidelines.

• Ability to communicate and write technical Arabic.

• Strong understanding of UAE regulatory requirements and international compliance standards.

• Excellent analytical, problem-solving, and decision-making skills.

• Ability to work independently and collaboratively within a team environment.

• Exceptional communication and interpersonal skills.

• Detail-oriented with a high level of integrity and professionalism.

• Proven track record of managing complex compliance issues and driving compliance initiatives.