Head of Compliance

Responsibilities:

1. Assist with compliance monitoring within the business;
2. Provide oversight of Compliance for the business and external clients to identify, monitor, and manage regulatory risks;
3. Identify and analyze business risks, providing compliance advisory on expanding existing business lines and new opportunities for the entire Group;
4. Ensure fulfillment of regulatory requirements and adherence to Company standards and DFSA and ADGM rules and regulations;
5. Assess the adequacy of the Compliance Monitoring Program continuously and conduct periodic monitoring to confirm compliance with regulatory requirements and internal policies;
6. Review the Internal Control System framework, propose new procedures and controls, and update the Company’s Compliance Manual and other relevant internal policies as new regulations are enacted;
7. Monitor Company and Client transactions to ensure no regulatory or ethics infringements occur, assessing the suitability and appropriateness of transactions, providing best execution, qualifying execution-only transactions, and avoiding conflicts of interest;
8. Provide compliance advisory and updates on regulatory developments to the business;
9. Prepare reports to be shared with Senior Management and the Board of Directors;
10. Manage regulatory matters, including relationships and correspondence with regulators, regulatory examinations, implementation of new regulations, licensing, and regulatory filings.