Head of Compliance Dubai
- Salary£80k - £100k Yearly
- LocationUnited Arab Emirates, Dubai
- SectorInvestment Banking/Stockbroking
- PublishedFebruary 16th 2012
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 firstname.lastname@example.org