Compliance Officer Investment Management

📌 𝗗𝗲𝘀𝗰𝗿𝗶𝗽𝘁𝗶𝗼𝗻:
byteSpark.ai is supporting a Dubai-based investment management client to hire a Compliance Officer. The successful candidate will support the compliance framework of a regulated investment business. Direct compliance experience in asset management, investment management, funds, private equity, family offices, wealth platforms, or a comparable investment environment is required. Responsibilities include investor and client onboarding reviews covering KYC, CDD, EDD, beneficial ownership, source of wealth and funds, sanctions, PEPs, and adverse media. The role also covers higher-risk investors and complex ownership structures; risk-based monitoring, thematic reviews and control testing; issue tracking and remediation; and maintaining policies, procedures, registers, regulatory filings and management reports. The Compliance Officer will advise investment, operations and senior management teams on UAE and GCC regulatory obligations, support AML/CFT training and regulatory change, and assist with audits, inspections and external communications. Professional English, sound judgment, attention to detail and the ability to manage day-to-day compliance work independently are required. Arabic language skills are strongly preferred.

𝗪𝗵𝗼 𝗶𝘀 𝘁𝗵𝗶𝘀 𝗿𝗼𝗹𝗲 𝗳𝗼𝗿:
This role is suited to a hands-on compliance professional with direct experience in asset management or a similar investment business. You will work closely with investment and operations teams on investor due diligence, AML/CFT controls, monitoring, and UAE regulatory requirements. Arabic skills are a strong advantage.

🎯 𝗥𝗲𝗾𝘂𝗶𝗿𝗲𝗺𝗲𝗻𝘁𝘀:
▸ At least five years of hands-on compliance experience, including responsibility for day-to-day compliance activities.
▸ Direct compliance experience in asset management, investment management, funds, private equity, a family office, an investment company, or a comparable regulated investment business.
▸ Professional fluency in English. Arabic language skills are strongly preferred.
▸ Practical AML/CFT experience covering KYC, CDD, EDD, UBO verification, source of wealth, source of funds, sanctions, PEPs, adverse media, transaction monitoring, and suspicious activity escalation.
▸ Working knowledge of UAE or GCC financial regulatory frameworks, with exposure to SCA, DFSA, FSRA, DIFC, or ADGM requirements.
▸ Experience conducting compliance risk assessments, risk-based monitoring, control testing, thematic reviews, issue documentation, and remediation tracking.
▸ Experience maintaining or developing compliance policies, procedures, internal controls, registers, regulatory filings, and management reports.
▸ Experience reviewing investment-sector clients or structures, such as funds, institutional investors, investment companies, professional clients, HNWIs, or complex legal entities.

✨ 𝗗𝗲𝘀𝗶𝗿𝗮𝗯𝗹𝗲𝘀:
▸ CAMS, ICA, or another recognized compliance, AML, or financial crime qualification.
▸ Experience supporting regulatory inspections, external audits, licensing submissions, or responses to UAE financial regulators.
▸ Knowledge of suitability, appropriateness, conflicts of interest, client assets, investment conduct, or fund governance controls.
▸ Experience preparing compliance reports for Boards, committees, senior management, or regulated function holders.
▸ Experience implementing regulatory change or improving compliance processes, systems, or controls.

𝗥𝗼𝗹𝗲 𝗛𝗶𝗴𝗵𝗹𝗶𝗴𝗵𝘁𝘀

📍 Location
DIFC, Dubai, UAE

💼 Work Location Type
Onsite

📄 Employment Type
Full-time

📈 Job Level
Mid Level

⌛ Experience
5+ years of compliance experience, including experience in asset management or a similar investment business.

🏢 Department
Finance

🏭 Industry
Finance

🔹 Sub-Industry
Capital Markets

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🚀 𝗧𝗮𝗸𝗲 𝘁𝗵𝗲 𝗟𝗲𝗮𝗽 𝗧𝗼𝘄𝗮𝗿𝗱 𝗮𝗻 𝗘𝘅𝗰𝗶𝘁𝗶𝗻𝗴 𝗙𝘂𝘁𝘂𝗿𝗲 – 𝗔𝗽𝗽𝗹𝘆 𝗡𝗼𝘄! 🚀