110 Audit Compliance jobs in the United Arab Emirates

Responsibilities:

The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer (MLRO) services. The department also assists client companies of IQEQ DIFC in structuring matters and in fulfilling clients compliance responsibilities.

In addition, the Manager Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks, and coach them.

Tasks:

• Contribute in designing and implementing the AML/CFT framework for specific clients;
• Act as MLRO/Compliance Officer for IQEQ DIFC's client companies;
• Attend board meetings to present MLRO/Compliance reports for IQEQ DIFC's client companies on at least an annual basis; receive, analyze, and report Suspicious Transaction Reports as appropriate;
• Perform client file review or special investigations as required;
• Liaise with DFSA, FSRA, and other regulatory bodies to assist clients in procuring regulatory approvals and related matters;
• Provide AML/CFT training to directors and staff of client companies as appropriate;
• Conduct AML/CFT risk assessments of all products, technology, and business practices of client companies as appropriate;
• Analyze and disseminate the latest AML/CFT-related regulatory information to clients;
• Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries;
• Provide Management Information to the Operational Risk Committee, GRACC, and Board as required;
• Supervise and assess the Client Compliance Unit team's work and assignments, assist in building capabilities, and allocate resources within the Client Compliance Unit team;
• Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
• Ensure protection of information assets of IQEQ DIFC and abide by the ISMS in place at IQEQ DIFC.

Qualifications:

Education / Professional Qualifications:

• A degree from a reputable university, preferably in the field of law, finance, or financial services, or directly related to compliance functions.

Background Experience:

• At least 8-10 years of experience in the financial services sector, with preference given to experience in compliance.

Technical:

• Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.

Additional Information:

At IQEQ, we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations, with a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Remote Work:

No

Employment Type:

Full-time

Emirates Investment Bank PJSC (EIBank) is an independent onshore private bank based in Dubai, United Arab Emirates, offering a wide range of banking and investment services to a select group of clients, supporting them through every stage of their wealth journey.

Established in 1976 by prominent UAE business families, EIBank offers bespoke solutions across the full range of wealth management services, from asset management and access to global markets to advisory services.

EIBank is a relationship driven bank, focused on building long-term partnerships. Our flexible and consultative approach enables us to offer customized products and solutions through innovative advice and services.

EIBank is listed on the Dubai Financial Market since 2005 and its shareholder base is composed of highly respected UAE business families and private investors from the local community.

Job Purpose:

The Regulatory Compliance Manager will oversee Regulatory Compliance in accordance with UAE Central Bank and UAE Securities and Commodities Authority (SCA) regulations. The role involves ensuring adherence to a number of Regulations, including consumer protection, outsourcing, corporate governance, licensing, client classification, suitability, and capital adequacy requirements.

The Compliance Manager will be responsible for monitoring regulatory developments, implementing compliance frameworks, conducting compliance reviews, and engaging with regulators.

Key Accountabilities:

1. UAE Central Bank Regulatory Compliance

Consumer Protection Compliance:

• Ensure the firm complies with UAE Central Bank Consumer Protection Regulations.

• Oversee complaint-handling mechanisms and ensure fair treatment of customers.

• Conduct reviews of customer-facing policies, contracts, and disclosures to ensure compliance.

Outsourcing Regulation Compliance:

• Ensure adherence to outsourcing regulations, including due diligence, contractual compliance, and risk assessment of service providers.

• Monitor the firm’s outsourcing arrangements and ensure regulatory reporting requirements are met.

Corporate Governance & Employment Compliance:

• Oversee compliance with corporate governance requirements, ensuring board and management decisions align with regulatory expectations.

• Monitor adherence to employment regulations, including fit and proper requirements for senior management and staff.

• Conduct periodic training on corporate governance and compliance obligations.

2. UAE Securities and Commodities Authority (SCA) Compliance

Licensing & Regulatory Approvals:

• Ensure the firm maintains valid SCA licenses and meets all regulatory obligations.

• Oversee licensing applications, renewals, and regulatory approvals for new business activities.

• Liaise with SCA on regulatory queries and ensure timely submission of required reports.

Client Classification & Suitability:

• Ensure compliance with client classification regulations, including high-net-worth individual (CB UAE) and professional/ordinary investor (SCA).

• Monitor adherence to suitability and appropriateness assessments for investment products and financial services.

• Conduct periodic internal audits and controls to verify compliance with client categorization rules.

• Oversee compliance with capital adequacy requirements (as a LOD2 in collaboration with the Risks Management Team which holds primary technical compliance responsibility.

• Seniority levelMid-Senior level

• Employment typeFull-time

• Job functionOther
• IndustriesBanking

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Dubai, Dubai, United Arab Emirates 20 hours ago

Dubai, Dubai, United Arab Emirates 12 hours ago

Dubai, Dubai, United Arab Emirates 12 hours ago

Dubai, Dubai, United Arab Emirates 7 hours ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

This role ensures compliance with regulatory requirements for product labelling and export documentation.

• Evaluate local and GCC regulations to ensure adherence.
• Develop and implement procedures for compliant product labelling.
• Maintain accurate records of export documentation.

Required Skills:
A strong understanding of local and GCC regulatory frameworks, excellent analytical and problem-solving skills, ability to communicate effectively with cross-functional teams.
Preferred Qualifications:
Relevant degree in a related field, 3+ years of experience in a similar role, knowledge of relevant software applications.
What We Offer:
Competitive compensation package, comprehensive benefits, opportunities for professional growth and development.

We are seeking a dedicated Compliance professional to support our businesses within the Dubai International Financial Centre (DIFC). This pivotal role will focus on ensuring compliance with DIFC/DFSA regulations, managing compliance risks, and upholding the highest standards of ethical conduct.

The Compliance professional will play a crucial role in maintaining our reputation and integrity through proactive policy development, risk management, and stakeholder engagement.

• Ensure compliance with DIFC/DFSA regulations mitigating legal risks and enhancing operational integrity.
• Act as the Compliance Officer and Money Laundering Reporting Officer (MLRO) for both entities regulated by the DFSA.
• Support the wider Compliance team across the region ensuring adherence to both regional and global compliance standards.
• Develop and implement compliance strategies, conduct risk assessments, and initiate improvements to the compliance framework.
• Foster strong relationships with stakeholders to promote a culture of compliance and ethical conduct.

• 5-8 years of relevant experience in the financial or insurance sectors focusing on asset management, insurance, or wealth management.
• Previous experience in a regulatory approved position.
• Proficiency in risk assessment management strategies and adherence to compliance standards.
• Strong communication and problem-solving skills to effectively engage with various stakeholders and resolve complex compliance issues under pressure.

• A commitment to upholding the highest standards of compliance and ethical conduct.
• A proactive approach to policy development and risk management.
• A collaborative mindset with the ability to work effectively within a team and engage with stakeholders at all levels.
• Proven experience as a Compliance Officer and MLRO in the DIFC with a strong understanding of local regulations.

This is a key role within our organization and will provide opportunities for professional growth and development. If you have the required experience and skills, we encourage you to apply.

About the Role

We are seeking a highly skilled Regulatory Compliance Specialist to join our team. As a key member of our Licensing Unit, you will play a critical role in ensuring that all regulatory actions, fines and warnings comply with existing laws.

Main Responsibilities

• Legal Advisory : Provide expert legal insights and advice on regulatory matters to internal teams and stakeholders.
• Compliance Reviews : Conduct thorough reviews of business cases and issues within the industry to ensure compliance with current regulatory frameworks.
• Liaison : Serve as a liaison between the Licensing Unit, industry stakeholders and government bodies to ensure effective communication and coordination.
• Policy Development : Collaborate with internal teams to develop and implement policies and procedures that align with industry best practices and legal requirements.

Key Requirements

• Strong Legal Knowledge : Possess a deep understanding of relevant laws and regulations governing the sector.
• Excellent Communication Skills : Ability to communicate complex legal information effectively to both technical and non-technical audiences.
• Critical Thinking : Demonstrated ability to analyze complex issues, identify areas for improvement and provide recommendations.
• Teamwork : Proven ability to work collaboratively with cross-functional teams to achieve common goals.

Why Join Us?

We offer a dynamic and supportive work environment, opportunities for professional growth and development, and a competitive salary package.

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LOD (Lawyers On Demand) is the market-leading hub for flexible services. We pair talented consultants with clients looking for an alternative resource providing high-quality work across a broad range of industries.

Over the past decade, we’ve transformed the way in which lawyers, consultants and legal teams work. Today, we’re one of the largest and fastest growing flexible services businesses, continuing to lead the market we created and completing hundreds of assignments with the world’s leading businesses.

Our full time and part time assignments typically include working within our clients’ organisations on secondment. As a result of increased demand from several of our clients, we are currently looking to strengthen our team via the engagement of lawyers and consultants.

Who are we looking for?

We are working on a number of high calibre assignments and are keen to hear from legally trained individuals with Regulatory & Compliance experience in Abu Dhabi.

Requirements

• 5-10 years PQE, with relevant experience gained from top tier international law firms (prior in-house / secondment experience would be an advantage)

• Resident in the UAE (GCC/Golden/Spousal/Freelancer visa holders), and available to start assignments at short notice

You will have a hands-on, can-do approach, be able to use your initiative and not be afraid to roll up your sleeves. You will need to be prepared to manage relationships, be adaptable and have the ability to provide commercial solutions across a broad range of environments. By joining our team, you will have the opportunity to do high quality work with leading global corporations, whilst receiving continuous support to help you build your career. You'll be part of a team of highly regarded lawyers and consultants and an established global network of support staff.

• Join the world’s fastest growing new model flexible services and consulting business
• Work directly with any one of a number of market leading global clients
• Broaden your experience by working in a variety of organisations and industries
• Work flexibly, whilst deciding when and how much you work

What's Next?

If you'd like to manage your own career path, have more flexibility and variety, and join a business which is reshaping the conventional model of work and the consulting industry then please apply.

We'd love to hear from you!

• Seniority levelAssociate

• Employment typeContract

• Job functionLegal
• IndustriesLaw Practice and Legal Services

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We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

We are seeking a skilled Regulatory Compliance Specialist to join our team. This is an exciting opportunity to contribute to the development and implementation of regulatory compliance strategies.

• Ensure full compliance with TDRA and other regulatory guidelines for technical and non-technical instructions.
• Lead the collection, analysis, and reporting on regulatory corporate compliance indices and KPIs.
• Create and update the regulatory compliance framework, policies, and processes related to the RA function and all regulatory requirements.
• Investigate regulatory non-compliance or potential non-compliance cases, identify related gaps, and provide recommendations.
• Build, develop, and release the compliance Scorecard index.
• Implement internal controls and compliance mechanisms, as well as external measures, to ensure adherence to regulations and instructions across the organization.
• Collect, analyze, and report on corporate metrics (KPIs) to governmental regulatory authorities.
• Support monitoring activities of TDRA regulations and instructions, ensuring proper management of all related functions.
• Support activities to ensure adherence of business processes and practices to regulations, protecting organizational interests and ensuring business continuity during unforeseen circumstances.
• Provide regulatory consultations to other business units regarding key regulatory developments and implications; raise awareness about regulations and liaise with departments to ensure compliance.
• Handle and resolve customer complaints within the regulatory framework.
• Assist in representing the organization before TDRA regarding violations and investigations as required.
• Support the study of the impact of TDRA decisions related to customer complaints.

• Bachelor's Degree in Business Administration, Law, Engineering, or related fields.
• 6-8 years of experience in a large telecom service provider handling regulatory compliance relations or similar roles.

As a valued member of our team, you will enjoy a competitive compensation package, opportunities for professional growth and development, and a dynamic work environment that fosters collaboration and innovation.

We are committed to creating an inclusive environment that values diversity and promotes equal opportunities. If you require accommodations during the selection process, please contact us.

We are seeking a seasoned Regulatory Compliance Specialist to spearhead the licensing process for new jurisdictions, particularly in Dubai and Labuan. As a subject matter expert, you will lead the process from start to finish, collaborating closely with regulatory bodies and keeping senior leadership informed of all progress.

This role requires significant experience in securing regulatory approvals for crypto firms globally. Familiarity with regulators such as VARA in Dubai or LFSA in Labuan is advantageous, though not mandatory. Experience working with other VASP or MiCA jurisdictions is also beneficial.

• Prepare and submit comprehensive licensing documentation
• Engage with regulators and stakeholders to ensure seamless license acquisition
• Stay up-to-date with international crypto regulatory landscapes and emerging trends

The ideal candidate will have hands-on experience in navigating complex regulatory environments and a deep understanding of compliance best practices.

This position offers flexibility, with the contract type available on either an employment or consultancy basis. Interested candidates should possess strong communication skills, exceptional attention to detail, and a proactive approach to achieving regulatory compliance objectives.

By submitting your application, you consent to the retention of your personal data for employment purposes, which will be protected under applicable Data Protection Laws.

• Significant experience in securing regulatory approvals for crypto firms
• Knowledge of international crypto regulatory landscapes
• Strong communication and stakeholder management skills
• Proven ability to navigate complex regulatory environments
• Deep understanding of compliance best practices

This role offers a unique opportunity to work with a dynamic team, contributing to the growth and development of our organization. You will have the chance to develop your skills and expertise, working in a fast-paced and ever-evolving industry.

Interested candidates should submit their CV and a cover letter outlining their relevant experience and qualifications. We look forward to hearing from you!

Compliance Managers are integral to Amazon's growth strategy, overseeing the successful launch of new products and ensuring seamless business continuity across MENATR stores.

As a seasoned Compliance Manager, you will lead the development of compliance strategies and initiatives that drive regulatory risk mitigation. Your expertise will be crucial in understanding legal impact, defining compliance requirements, and establishing effective policies and controls.

Key responsibilities include:

• Collaborating with cross-functional teams to design and implement compliance solutions that support emerging products
• Managing examination and external audit processes, maintaining relationships with assessors, and responding to inquiries in a timely manner
• Driving seller education initiatives to enhance account health performance and promoting a culture of compliance throughout the organization
• Maintaining a horizon view to detect and respond to new regulatory developments, educating management and guiding teams on coordinated responses

The ideal candidate will possess:

• 3 years of program or project management experience
• 3 years of working cross-functionally with tech and non-tech teams
• 3 years of defining and implementing process improvement initiatives using data and metrics
• Bachelor's degree
• Advanced knowledge of Excel (Pivot Tables VLookUps) and SQL
• Experience in stakeholder management, driving end-to-end delivery, and communicating results to senior leadership
• Experience building processes, project management, and schedules

Amazon offers an inclusive culture empowering employees to deliver exceptional customer results. We value diversity and welcome applications from qualified candidates.