252 Compliance Auditing jobs in the United Arab Emirates

The primary function of this role is to ensure that anti-money laundering (AML) policies, procedures, and controls are comprehensive and compliant with relevant laws and regulations. This involves reviewing account opening documentation and client onboarding due diligence checks in accordance with know-your-customer (KYC) procedures and requirements. Additionally, the incumbent will be responsible for updating the AML manual in line with the AML Module and internal rules. Furthermore, they will design and deliver training programs for business and functional teams. The role also entails conducting quality testing, identifying process deficiencies, enhancing reporting, and recommending corrective actions to meet regulatory and audit requirements.

• Oversee AML and counter-terrorist financing (CTF) frameworks to safeguard the organization's reputation and integrity.
• Ensure compliance with regulatory requirements.
• Conduct quality testing, identify process deficiencies, enhance reporting, and recommend corrective actions to meet regulatory and audit requirements.
• Review and collaborate with internal partners to respond appropriately to escalated matters.
• Monitor and disseminate AML/compliance regulations and policy changes.
• Manage a direct reporting line to the board and an administrative reporting line to the CEO.
• Fulfill regulatory reporting requirements.
• Maintain compliance systems (e.g., customer screening, transaction screening, AML monitoring).
• Ensure AML Policies, Procedures, and Controls are up-to-date.

The ideal candidate will possess strong knowledge of AML and CFT laws, regulations, compliance frameworks, and risk management practices, with certification from a recognized regulatory body. They should also have a robust understanding of legal and regulatory compliance, clear and concise written and verbal communication skills, and a good understanding of AML risk, including higher-risk geographies, industries, and products. Additionally, the incumbent should demonstrate proven ability to develop and implement AML and Compliance Policies, Procedures, and internal controls.

This role offers a full-time employment opportunity with no remote work option.

• Creating and implementing AML frameworks, procedures, and policies
• Acting as a first point of contact for compliance concerns
• Screening payments
• Training staff on compliance procedures
• Being a champion of compliance culture
• Reviewing and auditing the organization's adherence to compliance procedures
• Remaining up to date on current regulatory and compliance changes
• Reporting compliance issues and recommending changes
• Assisting with assembling compliance reports for CCO to review
• Providing general administrative support to COO and ACO
• Assessing operational risks
• Reducing TAT, managing risk, and enhancing services
• Identifying gaps and anomalies in the process and escalating to respective authorities, ensuring prompt and adequate compliance responses and support provided to the business
• Reviewing CB-ECDD & STR for onward submission
• Drafting CCC, BRCC & GORM reports and presenting findings and recommendations to appropriate business heads and senior management.

Qualifications

Minimum 3 years of Exchanges House experience

Job ID: | Amazon Commercial Services (South Africa) (Pty) Ltd

Amazon's Risk and Compliance Solutions team is looking for an experienced compliance professional to lead our South Africa Compliance office.

The Compliance Officer is a senior role within the MEA Compliance team and is responsible for operating and improving our 2nd line compliance programs in South Africa.

Key job responsibilities

The Compliance Officer will:

- Provide effective and timely advice on complex regulatory compliance matters to the business, in conjunction with our legal teams.
- Accurately Interpret and advise on applicable ZA regulations, with an emphasis on AML-CTF.
- Work with legal, risk and business leads to develop and maintain our compliance policies and controls.
- Communicate conduct and compliance risks to Senior Management, preparing the reading materials for risk committees as may required.
- Operate and continuously improve the Compliance Monitoring plan for the ZA regulated entity.
- Respond to requests for information from auditors and regulators in a timely manner.
- Lead the digesting and analysis of regulatory change and look for opportunities to influence the regulatory agenda on behalf of our customers.

About the team
The MEA compliance team at RCS operates Amazon's 2nd line Compliance Programs in the Middle East and Africa. We enable Amazon to operate its regulated businesses in compliance with applicable regulation while maintaining great customer experiences. We are experts in regulatory compliance, adept at managing compliance risk and continuously obsess about delighting our customers.

- Master's degree or equivalent
- 6+ years of compliance, audit or risk management experience
- Demonstrable expertise in South African AML-CFT Regulation (and the oversight and operation of Suspicious activity monitoring programs) as well as Payments regulation.
- Written and verbal communication skills.
- Previous experience as a senior member of a Compliance Office in a major bank or e-money/payment institution.

- Held regulated roles (CO/MLRO) vis-a-vis regulators in the South Africa.

Amazon is an equal opportunities employer, and we value your passion to discover, invent, simplify and build. We welcome applications from all members of society irrespective of age, sex, disability, sexual orientation, race, religion or belief. Amazon is strongly committed to diversity within its community and especially welcomes applications from South African citizens who are members of designated groups who may contribute to Employment Equity within the workplace and the further diversification of ideas. In this regard, the relevant laws and principles associated with Employment Equity will be considered when appointing potential candidates. We are required by law to verify your ability to work lawfully in South Africa. Amazon requires that you submit a copy of either your identity document or your passport and any applicable work permit if you are a foreign national, along with an updated curriculum vitae.

Our inclusive culture empowers Amazonians to deliver the best results for our customers. If you have a disability and need a workplace accommodation or adjustment during the application and hiring process, including support for the interview or onboarding process, please visit for more information. If the country/region you're applying in isn't listed, please contact your Recruiting Partner.

Amazon is an equal opportunity employer and does not discriminate on the basis of protected veteran status, disability or other legally protected status.

We are seeking a highly skilled and experienced Compliance Officer to join our team.

• The successful candidate will be responsible for ensuring compliance with all relevant health and safety regulations and standards in the facility.

• This includes preparing and maintaining health and safety checklists, arranging for proper Personal Protective Equipment (PPE), and conducting daily rounds to identify any abnormalities and hazards.

• The Compliance Officer will also be responsible for maintaining discipline and harmony in the facility, reporting any indiscipline or dishonest conduct to management, and assisting in having periodic health and safety training and awareness programs for all staff.

• In addition, the Compliance Officer will be responsible for inspecting, maintaining, and keeping records of safety equipment and tools, and providing first aid to staff as needed.

• The ideal candidate will have strong communication and presentation skills, be proactive and a team-player, and dedicated to continuous improvement.

1. NEBOSH / IOSH trained
2. Energetic and ready for physical activities
3. Excellent in people management and discipline handling
4. Self-disciplined in upholding the safety culture within the organization
5. Good communication and presentation skills

• Once in 2 years air ticket to home country

• Annual leaves

• Medical insurance

• Company transportation

• Participate in conducting evacuation drills

• Implement a proper waste management system

• Any other tasks assigned by the Department head when the need arises

Our company is seeking an experienced professional to fill a critical role in our team. As Assistant Manager Compliance, you will play a key part in empowering the future of candidates by providing expert advice and support.

We are a globally networked team of professionals who offer a range of pre-arrival and post-arrival services to students willing to study abroad. These include counseling, evaluation, application, immigration, and accommodation arrangements.

As Assistant Manager Compliance, your responsibilities will include:

• Counseling students and parents on various courses for study abroad options like MBA, Masters, Bachelors, etc., language training, and clarifying all doubts of walk-in clients.
• Providing counseling to leads shared by management over the phone & converting them for Study visa & language training.
• Maintaining a proper database of leads from different sources and following up regularly to ensure enrollment. If the student is registered for language training, then continuous follow-up is required on their performance regularly and guide the student to register for a study visa as well.

1. Scan the original documents, get the signatures on the application form, offer letter form, Retainer & procure test email from the student.
2. Share application via Email / CRM with the Admission team.
3. Maintain a record of new enrollments in the Student Processing Sheet (Excel).

You will also be responsible for coordination with the student & admission team for any pending documents (if required by the institute) and ensure to receive the offer letter in a timely manner.

Tuition fee payment procedure of the student once the offer letter is received.

GIC account creation of the student and its payment.

Booking of Medical Appointment.

Guiding the student about Visa document checklist according to their category SDS/Non-SDS.

Collection of documents, preparing the visa file & sharing it with the Visa Team at Head-office.

If the visa is approved, then guide students for next steps & Visa handover.

If the visa is refused, suggest the student for Re-lodgment/ to apply for another country/Refund as per the student's preference & profile.

Submission of Daily report on Daily Basis (Google Form).

Updating each & every column of the Student Processing Sheet on a daily basis.

Attend Trainings & webinars conducted by the organization and prepare Summary notes to be shared with management.

Joining Mirabaud means entering an entrepreneurial and innovative environment. With the 7th generation of the Mirabaud family working within the bank, the culture is that of a family business. With over 750 employees based in 10 countries worldwide, Mirabaud offers opportunities to develop one's career across an international network of 16 offices.

Job Description

• Verification, independently and autonomously, that Mirabaud (Middle East) Limited (MMEL) has all necessary internal processes and procedures that meet the objective of preventing violation of the anti-financial crime, counter-terrorist financing, sanctions, tax, and other financial crime prevention regulations which apply to MMEL and its business activities.
• Identifying financial crime risk management rules and regulations on an ongoing basis and assessing applicability to MMEL.
• Measuring and evaluating the impact of rules and regulations relating to financial crime risk management on internal processes and procedures and taking appropriate action based on relevant outcomes.
• Ensuring that internal Anti-Financial Crime Risk management policies and procedures are complied with.
• Proposing organizational and procedural modifications (when necessary) and ensuring implementation and verifying the effectiveness of the organizational changes recommended for financial crime risk mitigation purposes.
• Providing advice and guidance on due diligence on new and existing clients and counterparties as part of the client onboarding, transaction evaluation, and execution activities of MMEL including but not limited to financial crime and reputational risks.
• Providing advice and assistance to senior management and other structures of MMEL in the areas of financial crime risk management.
• Providing advice and assistance on all matters of significance from an anti-financial crime risk management perspective.
• Ensuring compliance by MMEL with local laws and regulations in force concerning anti-money laundering and counter-terrorist financing and the handling of sanctions and embargoes and arranging, in accordance with the competent corporate units, appropriate initiatives with regard to any identified gaps/issues.
• Coordinating and implementing an anti-financial crime risk management training program for MMEL.
• Assisting management with developing and maintaining an effective anti-money laundering (AML) and counter-terrorist financing compliance culture.
• Conducting and coordinating the performance of payment screening and transaction monitoring activities.
• Reviewing and approving MMEL payment activities including domestic and cross-border fund transfers.
• Conducting and coordinating the performance of sanctions screening on legal entities, related representatives, and ultimate beneficial owners as well as parties involved in client or counterparty transactions.
• Managing investigations for potential suspicious activities and transactions and issuing reports relating to outcomes.
• Managing engagement with internal audit in relation to financial crime risk management and overseeing the implementation of remedial actions relating to such audits.

Qualifications

• Bachelor's degree in Finance, Economics, Business Management, or Legal.
• 5-10 years' experience in Wealth Management, Banking, Private Banking, or Fiduciary.
• Impeccable communication and presentation skills, both verbal and in writing in English; any other language is an asset.
• Ability to think ahead (foresee potential risks and problems), ambition paired with patience, humility, and good listening skills, solutions curator, confident in taking responsibility, using initiative and being innovative, proactive, self-motivated, intellectually curious, team spirit, service-oriented, and helpful.

Additional Information

• Family-friendly and dynamic environment.
• Direct impact on the business, no matter your position or seniority.
• Work in an environment that encourages autonomy and entrepreneurship.
• Flexible working arrangements to help you achieve a better work-life balance.
• Variety of cultural and sporting activities during your free time.
• Inclusion and equal treatment.
• Various employee benefits & family-friendly benefits.

Notes:

• Only candidates selected for an interview will be contacted. Many thanks for your understanding.
• We will not accept any CVs from agencies.

• Keep up to date track of various legal requirements, filing of returns and documentation requirements with respect to local Customs, VAT, Excise, Municipality laws, practices and requirements.
• Liaison with authorities and customers to address and resolve any compliance related queries.
• Regular compliance monitoring and reporting to management.
• Prepare and maintain sufficient checklists, KPIs, registers and monitoring reports for Import and Export Operations.
• Prepare and manage correspondence, reports, reconciliations and documents as required for various compliance reporting and communications.
• Communicate and coordinate with relevant internal and external stakeholders for various requirements and reporting as necessary.
• Perform all other duties as assigned by management.
• You will assist with the implementation of trade compliance processes, procedures, and tools to ensure compliance with import/export regulations and corporate policies.
• You will conduct trade compliance risk assessments for business operations; identify trade compliance issues within the business units; assist with trade compliance audits; conduct root cause analysis and oversee the implementation of corrective actions.
• You will monitor and keep track of changes in government policies, export control, sanctions and customs rules and regulations as they relate to company operations.

Qualifications

• Bachelor's degree or equivalent from an accredited University.
• Knowledge of international export/import trade documentation requirements, Inco terms, sea/air/land freight forwarding processes, documentation requirements and custom documentation in E-Mirsal 2 in Dubai trade web portal.
• Knowledge and working experience in dealing with local customs, municipality, VAT, Excise laws, processes and documentation requirements.
• Previous experience of working in customs clearance will be an added advantage.
• 6 – 8 years of experience in a similar role with at least two years of such experience in UAE market.
• Arabic language skills will be an added advantage.
• Expertise in MS Office especially advanced Excel knowledge.
• Excellent Communication, negotiation, interpersonal and influencing skills.
• Time-management and multitasking abilities that will contribute to the efficiency of the overall business by ensuring all assigned duties are carried on a timely and efficiently.

Joining Mirabaud means entering an entrepreneurial and innovative environment. With the 7th generation of the Mirabaud family working within the bank, the culture is that of a family business. With over 750 employees based in 10 countries worldwide, Mirabaud offers opportunities to develop one’s career across an international network of 16 offices.

Job Description

• Verification, independently and autonomously, that Mirabaud (Middle East) Limited (MMEL) has all necessary internal processes and procedures that meet the objective of preventing violation of the anti-financial crime, counter-terrorist financing, sanctions, tax, and other financial crime prevention regulations which apply to MMEL and its business activities.
• Identifying financial crime risk management rules and regulations on an ongoing basis and assessing applicability to MMEL.
• Measuring and evaluating the impact of rules and regulations relating to financial crime risk management on internal processes and procedures and taking appropriate action based on relevant outcomes.
• Ensuring that internal Anti-Financial Crime Risk management policies and procedures are complied with.
• Proposing organizational and procedural modifications (when necessary) and ensuring implementation and verifying the effectiveness of the organizational changes recommended for financial crime risk mitigation purposes.
• Providing advice and guidance on due diligence on new and existing clients and counterparties as part of the client onboarding, transaction evaluation, and execution activities of MMEL including but not limited to financial crime and reputational risks.
• Providing advice and assistance to senior management and other structures of MMEL in the areas of financial crime risk management.
• Providing advice and assistance on all matters of significance from an anti-financial crime risk management perspective.
• Ensuring compliance by MMEL with local laws and regulations in force concerning anti-money laundering and counter-terrorist financing and the handling of sanctions and embargoes and arranging, in accordance with the competent corporate units, appropriate initiatives with regard to any identified gaps/issues.
• Coordinating and implementing an anti-financial crime risk management training program for MMEL.
• Assisting management with developing and maintaining an effective anti-money laundering (AML) and counter-terrorist financing compliance culture.
• Conducting and coordinating the performance of payment screening and transaction monitoring activities.
• Reviewing and approving MMEL payment activities including domestic and cross-border fund transfers.
• Conducting and coordinating the performance of sanctions screening on legal entities, related representatives, and ultimate beneficial owners as well as parties involved in client or counterparty transactions.
• Managing investigations for potential suspicious activities and transactions and issuing reports relating to outcomes.
• Managing engagement with internal audit in relation to financial crime risk management and overseeing the implementation of remedial actions relating to such audits.

Qualifications

• Bachelor's degree in Finance, Economics, Business Management, or Legal.
• 5-10 years' experience in Wealth Management, Banking, Private Banking, or Fiduciary.
• Impeccable communication and presentation skills, both verbal and in writing in English; any other language is an asset.
• Ability to think ahead (foresee potential risks and problems), ambition paired with patience, humility, and good listening skills, solutions curator, confident in taking responsibility, using initiative and being innovative, proactive, self-motivated, intellectually curious, team spirit, service-oriented, and helpful.

Additional Information

• Family-friendly and dynamic environment.
• Direct impact on the business, no matter your position or seniority.
• Work in an environment that encourages autonomy and entrepreneurship.
• Flexible working arrangements to help you achieve a better work-life balance.
• Variety of cultural and sporting activities during your free time.
• Inclusion and equal treatment.
• Various employee benefits & family-friendly benefits.

Notes:

• Only candidates selected for an interview will be contacted. Many thanks for your understanding.
• We will not accept any CVs from agencies.

• Creating and implementing AML frameworks, procedures, and policies
• Acting as a first point of contact for compliance concerns
• Screening payments
• Training staff on compliance procedures
• Being a champion of compliance culture
• Reviewing and auditing the organization's adherence to compliance procedures
• Remaining up to date on current regulatory and compliance changes
• Reporting compliance issues and recommending changes
• Assisting with assembling compliance reports for CCO to review
• Providing general administrative support to COO and ACO
• Assessing operational risks
• Reducing TAT, managing risk, and enhancing services
• Identifying gaps and anomalies in the process and escalating to respective authorities, ensuring prompt and adequate compliance responses and support provided to the business
• Reviewing CB-ECDD & STR for onward submission
• Drafting CCC, BRCC & GORM reports and presenting findings and recommendations to appropriate business heads and senior management.

Qualifications

Minimum 3 years of Exchanges House experience