536 Compliance Management jobs in the United Arab Emirates

We are seeking a highly skilled Compliance Risk Management Specialist to support the development and maintenance of strong governance, risk management practices across our business.

• Supporting the delivery of our compliance framework and control environment.
• Coordinating with regulatory authorities and assisting with relevant submissions.
• Helping to embed compliance considerations into business processes and decision-making.
• Reviewing and maintaining internal policies and procedures to align with best practice.
• Assisting with due diligence, onboarding, and ongoing client reviews.
• Supporting internal reviews, audits, and governance reporting.
• Contributing to risk assessments and control improvement initiatives.

To be successful in this role, you will need:

• Prior compliance or risk experience in a regulated financial services environment.
• At least 3 years of compliance experience.
• Strong organisational skills and attention to detail.
• Able to work with discretion, integrity, and professionalism.
• Confident communicator with the ability to engage at all levels of the organisation.

This is an excellent opportunity to join a forward-thinking financial institution and contribute to upholding its reputation for excellence and integrity. We welcome candidates looking to relocate to Dubai.

Applicants should submit their CV and cover letter outlining relevant experience. Only shortlisted candidates will be contacted.

Job Title
Legal Counsel - Asset Management & Regulatory Compliance Abu Dhabi
Job Description
Legal Counsel - Asset Management & Regulatory Compliance Abu Dhabi
Position Overview
First Abu Dhabi Bank (FAB) is seeking a Legal Counsel to lead the legal strategy and governance framework for FAB Asset Management. This role is responsible for managing legal affairs, ensuring compliance with UAE and international financial regulations, guiding litigation and dispute resolution, and providing legal advisory support across investment and portfolio management functions.
Job Details
Job Location: Abu Dhabi, UAE
Industry: Banking
Function: Legal
Gender: Any
Candidate Nationality: Any
Job Type: Full-time
What You ll Do
* Develop and execute legal strategies that support FAB Asset Management s business objectives and regulatory obligations
* Ensure fund structures, DPM agreements, and investment documentation meet local and international compliance standards
* Provide legal advisory support across functions including fund management, risk, compliance, and technology
* Collaborate with internal teams to identify and mitigate legal risks across operational and investment activities
* Lead legal reviews and documentation related to disputes, contract enforcement, and regulatory investigations
* Engage with regulatory authorities, both regionally and internationally, to ensure FAB AM's full compliance and representation
* Support and guide litigation and arbitration cases involving asset management matters
* Establish governance policies and legal frameworks to drive operational efficiency and compliance integrity
* Advise senior management and board members on legal implications of key decisions
Ideal Profile
* Minimum 8 years of legal experience, with at least 3 years in asset management or investment banking legal roles
* Expert knowledge of UAE, GCC, and international asset management regulations (DPM, fund structures, cross-border investments)
* Strong experience in litigation management and legal risk assessment
* Excellent cross-functional communication and advisory skills
* Proven ability to lead legal functions and work closely with compliance, finance, and executive teams

Company Industry

• Banking
• Broking

Department / Functional Area

Keywords

• Legal Counsel - Asset Management & Regulatory Compliance Abu Dhabi

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A Compliance Specialist is required to support the management of regulatory compliance within an organization.

• Support the management of regulatory compliance by implementing and maintaining a framework for ensuring adherence to relevant laws and regulations.
• Enhance awareness of regulatory compliance and anti-money laundering across business areas.
• Monitor transactions and activities against international blacklists.

1. Check SafeWatch (regulatory/sanctions blacklist) for payments alerts and escalate exact matches to the management team.
2. Scan customer database against regulatory/sanctions blacklist and escalate exact matches to the management team.
3. Monitor transactions via Oracle system alerts.
4. Assist staff with queries, procedures and policies, and raise non-compliance issues to the management team.
5. Provide training on regulatory compliance and anti-money laundering.
6. Perform surveillance and monitoring activities to ensure compliance.
7. Develop policies and procedures for other departments within the organization.
8. Update Anti-Money Laundering (AML)/Combating Financing of Terrorism (CFT) policy and procedures.
9. Respond to regulatory authorities' queries via IEMS and goAML.
10. Prepare reports for regulatory authorities.
11. Maintain and implement suspicious transaction detection and reporting procedures.
12. Conduct independent testing and raise findings to the management team.
13. Support annual reporting requirements.
14. Update compliance manual and code of conduct.
15. Coordinate with internal and external auditors.
16. Develop regulatory compliance matrix and checklists.
17. Review updates in regulatory requirements and update the compliance team accordingly.
18. Coordinate with business divisions on matters relating to CFT.
19. Perform additional related compliance duties.
20. Stay up-to-date with latest regulatory requirements and updates issued by regulatory authorities.

The ideal candidate will have:

• University degree
• 3-5 years professional experience
• Excellent communication skills in English and Arabic
• MS Office skills

Preference will be given to candidates with UAE banking or financial services experience.

Job Overview:

This role focuses on delivering strategic licensing and regulatory advisory services under the Business Strategy Advisory vertical. The candidate will manage complex licensing assignments with regulatory authorities such as the Securities and Commodities Authority (SCA), Virtual Assets Regulatory Authority (VARA), Dubai Financial Services Authority (DFSA), and the Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (ADGM). A background in legal or compliance advisory is preferred, with expertise in structuring regulated entities.

Key Responsibilities:

1. Regulatory Licensing & Structuring:

• Lead and manage end-to-end licensing engagements with SCA, VARA, DFSA (DIFC), and FSRA (ADGM) for regulated entities across virtual assets, capital markets, and financial services sectors.
• Conduct regulatory scoping assessments to determine the most suitable license category and authority based on the client's business model.
• Advise on entity structuring, ownership, and governance frameworks in line with regulatory expectations.
• Prepare and review business plans, financial models, risk-based compliance frameworks, and supporting documentation for license applications.
• Coordinate directly with regulators during the application process, handling queries, meetings, and clarifications.
• Provide advisory on post-licensing obligations and regulatory compliance frameworks.
• Experience in setting up Special Purpose Vehicles (SPVs) and Holding Companies in DIFC, ADGM, and DMCC for regulated and unregulated structures.

2. Client Engagement:

• Advise clients on regulatory obligations and structuring strategies.
• Coordinate with regulatory bodies, legal counsel, and internal stakeholders to ensure compliance.

3. Market and Regulatory Updates:

• Stay current with changes to regulatory guidelines and license classifications.
• Provide periodic updates to clients and the Business Strategy Advisory team

4. Knowledge Sharing & Internal Development:

• Contribute to AKW's internal regulatory knowledge hub.
• Support capability building within the Business Strategy Advisory vertical.

5. Project Management:

• Deliver high-quality outputs within set deadlines.
• Manage documentation flow for multiple concurrent client projects.

Educational/ Professional License requirements:

• Bachelor's degree in Law, Finance, or a related field.
• 4+ years of experience in regulatory licensing, legal advisory, or compliance consulting.
• Strong command over regulatory frameworks including SCA, VARA, DIFC, and ADGM.
• Excellent written communication and documentation drafting skills.

Experience Requirements:

• Hands-on experience in obtaining regulatory licenses for virtual asset providers, fund managers, or financial service firms.
• Familiarity with documentation requirements and regulator expectations in the UAE.
• Experience interacting with regulatory authorities and handling licensing timelines and objections.
• Certifications such as CAMS, ICA, or legal licenses in the UAE are a plus

Exciting Opportunity in Regulatory Compliance

We are expanding our team and looking to hire professionals to support critical Regulatory Compliance initiatives.

Key responsibilities include:

• Coordinate execution of Financial Crime Risk Assessments (FCRA) across business lines
• Track and report mitigation actions through dashboards and trackers
• Develop and maintain Compliance MIS and KRI dashboards for senior management, board, and regulators
• Roll out and monitor completion of Compliance training modules across the organization
• Maintain a centralized PMO tracker to monitor remediation progress
• Validate remediation actions for findings under AML/CFT and regulatory requirements

If you're interested in this opportunity, please connect or share your CV.

* Conduct gap assessment (lookback exercise) against FCC regulatory guidelines and notices

* Track and monitor remediation of identified gaps through action plans and dashboards

* Support timely submission of documentation and updates to CBUAE

• Preferable that candidate has knowledge of UAE's AML/CFT/CPF and TFS legislation

• Preferable that candidate has knowledge/experience of CBUAE data submission platforms/systems

• Management of a team and experience in working with business stakeholders to develop policies and procedures

Job Purpose

• The Regulatory Compliance Assistant Manager will work as a member of the Compliance team to support monitoring adherence to the Central Bank regulations and best business practices.
• The Regulatory Compliance & Assurance, Assistant Manager will support the execution of the Annual Compliance Plan, especially in regards to Monitoring of Regulations.
• The Regulatory Compliance & Assurance, Assistant Manager will assist the Senior Manager and Head of the Unit in the formalization of procedures and processes and preparation of Compliance training & awareness to all staff.

Principal Accountabilities

• Supporting the rolling out of the Bank-wide Compliance Regulatory Monitoring Program along with conduct reviews and formalization of reports for Senior Management.
• Executing spot checks on Regulations / Processes to ensure compliance with regulatory requirements.
• Supporting the formalization of Memos and Reports for Regulatory Compliance reviews, testing and monitoring exercises performed.
• Tracking non-compliance issues and ensuring timely closure by relevant stakeholders within agreed target dates.
• Assisting other members of the Regulatory Compliance & Assurance team in a pro-active manner.
• Displaying UAB Values of Integrity, Customer Focus, Competence, Consistency and Courteousness.

Qualifications & Experience

• Bachelor's degree in any relevant field
• 3 years' experience in similar job within Compliance or Internal Audit
• Effective communication skills in English and Arabic
• Good inter-personal and communication skills.
• Good understanding of protocols and procedures to be compliant with UAE regulations and requirements.
• UAE National with Family Book

We maintain a strong compliance culture by advising on regulatory obligations and enterprise risk. Our team of problem solvers reviews customer data to ensure consistency with company policy.

• Complete comprehensive reviews of customer cases to verify KYB principles and company policies.
• Review documents using validation tools and reputable sources to verify AML information.
• Request CDD/EDD documentation from customers to complete the AML onboarding process.
• Follow up on pending requests and communicate with stakeholders within SLAs.
• Investigate possible matches generated by scanning applications and take action.
• Provide information to management regarding AML/CDD issues.
• Maintain high-quality service delivery to customers and departments, escalating queries as necessary.
• Support enhancement of our CDD function and procedures.

The Senior Compliance AML and Risk Director will oversee the alignment of operational functions, compliance, AML, and Risk across these areas.

• Integrate and manage all aspects of compliance within the UAE office to ensure regulatory compliance laws are adhered to.
• Liaise with stakeholders to ensure business operations comply with legal regulations and internal policies.
• Plan and implement compliance policies and procedures to meet regulatory obligations.
• Conduct initial in-depth analysis for all existing and new outsourcing services and monitor them according to regulatory changes.
• Advise on regulatory compliance matters and risk mitigation strategies to enhance the company's overall performance.

To be successful in this role, you will need:

• 5-10 years of experience as a senior compliance officer.
• Previous experience in outsourcing and vendor risk management.
• Strong communication and presentation skills to effectively communicate with senior management and regulators.
• Experience in drafting and managing policies, conducting compliance audits, and SLA management.
• Ability to work well in a team environment and have excellent stakeholder management skills.

This role requires a strong understanding of regulatory compliance laws and a structured approach to ensuring seamless coordination across operational functions.