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Our client has areas of coverage across investment banking, asset management and specialized finance. The Investment Bank is expanding its corporate finance, sales and research operations and is looking for a compliance officer to head up this area in Dubai.

The role will require strategic input into several key areas and will be operate at a senior level covering all areas of regulatory work. Working closely with the Global Head of Compliance in London and COO in Dubai.

Key tasks will be:

• Day to day advice on sales and trading and operational issues.


• Approval of investment research and marketing material.


• Assistance to corporate finance including wall crossings and conflict management issues; advice on DFSA and DIFC rules and regs


• Advice on management of conflicts of interest. Maintenance of Grey and Restricted lists.


• Review and approval of new products. Due Diligence. AML checks.


• Assessment of any proposed regulatory changes. New employee inductions and training.


• Significantly upgrade policies and procedures/ controls.


• Conduct risk based transaction and theme based monitoring


• Undertake disclosures and review of announcements and press releases.


• Assist with improvement of management information/reporting.


• Assist with routine regulatory notifications.

Background and Qualifications

• The candidate will have been in a senior advisory role providing advice and support to corporate finance, research and sales and trading divisions.


• Must be familiar with DFSA rules


• Must be proactive and collegiate in approach and be willing to assist the business and help it grow.


• Candidate will have a good track record with investment banks and/ or securities houses and be educated to degree level.


• This is an exciting opportunity with a varied workload, offering close interaction with the business and exposure to senior management.

If you are interested in finding out more about this role. Please contact Richard Aldridge on +44 2033015822 by phone or richard.aldridge@blackswangroup.com

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