52 Regulatory Submissions 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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Job Overview:

We are seeking a skilled compliance professional to oversee the implementation and management of our legal compliance program. This role involves reviewing employee work, developing company policies, and responding to policy violations.

To succeed in this position, you should possess excellent analytical skills, strong attention to detail, and be fluent in risk management and regulatory requirements.

• Compliance Program Management: Develop and maintain an effective legal compliance program that aligns with regulatory requirements and industry standards.
• Policy Development: Create and review company policies to ensure they are up-to-date, comprehensive, and compliant with relevant laws and regulations.
• Compliance Advisory Services: Provide expert advice to management on compliance matters, including conducting thorough reviews and analyses of company operations and practices.
• Risk Management: Identify and assess potential risks to the company, recommending strategies to mitigate or manage them.
• Audit and Investigations: Conduct regular audits and investigations to identify areas of non-compliance, recommending corrective actions as necessary.
• Employee Education and Training: Design and deliver training programs to educate employees on regulatory requirements, company policies, and best practices.

• Education: Bachelor's degree in Law, Finance, Business Management, or a related field.
• Experience: 3-5 years of proven experience in a compliance officer role.
• Knowledge: Good understanding of legal requirements and procedures.
• Skills: Excellent oral and written communication skills, highly analytical, and strong attention to detail.

This is a critical position that requires a high degree of professionalism, integrity, and a commitment to upholding our values and standards.

Job Title: Regulatory Compliance Specialist

We are seeking a skilled Regulatory Compliance Specialist to join our team. The successful candidate will be responsible for developing and implementing effective compliance strategies, ensuring alignment with relevant laws and regulations.

Key Responsibilities:

• Develop and implement compliance programs across various business units
• Conduct regular risk assessments and audits to identify areas of improvement
• Collaborate with stakeholders to ensure compliance with regulatory requirements
• Maintain accurate records and reporting

Requirements:

• Bachelor's degree in Law, Business, or Finance
• At least 5 years of experience in compliance or a related field
• Knowledge of UAE and global laws and regulations
• Experience in conducting compliance audits and assessments
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team

Benefits:

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

Location: {location} , {country_code}

Job Title: Regulatory Compliance Specialist

In this exciting and challenging position, you will play a critical role in ensuring our products meet all regulatory requirements.

We are looking for a highly skilled and experienced professional to join our team as a Regulatory Compliance Specialist. As a key member of our team, you will be responsible for providing regulatory support to internal and external customers.

Key Responsibilities:

• Respond to regulatory requests from internal and external customers
• Gather necessary information to assess product compliance
• Develop comprehensive understanding of all applicable regulations
• Ensure that product submissions adhere strictly to customer requirements, global regulations, and industry standards
• Provide regulatory consultation for the development of organic and chemical ingredients and finished compounds
• Create customised reports for analysing policy and regulatory impact assessments
• Identify relevant business issues and propose suitable solutions
• Monitor upcoming regulations in your field of expertise, propose an action plan, and lead its implementation

Process and System Management:

• Develop and implement routine procedures to challenge data integrity through audits and queries of regulatory databases
• Develop tools and PC-based solutions to meet latest regulatory and customer requirements

Customer Support:

• Create appropriate documentation to meet internal and external customer requirements
• Provide technical feedback and instructions to assist the creative community in creating, selecting or modifying submissions to meet regulatory requirements
• Develop relationships with customers' safety and regulatory contacts to facilitate business relationships

Your Professional Profile:

• Bachelor's or University Degree in a relevant science discipline
• 5 to 7 years' relevant and progressive work experience in a Regulatory role(s) in international and multicultural work environments
• Good knowledge and passion for the world of fragrances and consumer products
• Excellent oral and written proficiency in English language. Additional proficiency and knowledge of other languages like Arabic or French is a plus but not necessary
• Excellent presentation skills
• Eligible and able to travel within SAMEA region for customer visits and business requirements

Disclaimer:

We do NOT endorse any requests for money payments and strictly advise against sharing personal or bank-related information. We also recommend you visit Security Advice for more information. If you suspect any fraud or malpractice, please report it to us.

Our organization is seeking an experienced Regulatory Compliance Specialist to oversee the certification process for betting games across regulated markets.

This role supports game launches in various regions, ensuring timely execution and regulatory compliance. The ideal candidate will thrive in a fast-paced environment where collaboration and attention to detail are crucial.

Key Responsibilities:

• Certification Management: Manage end-to-end certification schedules, including scope, key milestones, dependencies, and deadlines.

• Liaison with Certification Labs: Serve as the primary point of contact between internal teams and external certification labs.

• Collaboration: Work closely with development, QA, and release teams to prepare and submit builds, documentation, and fixes to labs.

• Feedback and Defect Resolution: Track lab defect reports and feedback, overseeing retest cycles and ensuring prompt resolution with transparent communication to stakeholders.

• Compliance and Risk Management: Identify potential compliance or timeline risks early and propose actionable mitigation strategies.

• Regulatory Awareness: Maintain a deep understanding of jurisdiction-specific requirements and regulations.

• Documentation and Audit Readiness: Maintain accurate records of certification artifacts, lab correspondence, and final approvals for audit purposes.

• Stakeholder Engagement: Build strong relationships with lab contacts to facilitate priority scheduling and realistic turnaround times.

• Audit Support: Provide timely and complete evidence and clarification during internal or external audits.

• Process Improvement: Conduct post-certification reviews to improve processes and reduce lead times for future submissions.

Job Description:

We are seeking a talented Regulatory Compliance Specialist to join our team. This is a junior to mid-level role designed for someone who's eager to grow in a fast-paced, regulated virtual asset environment.

The ideal candidate will support day-to-day compliance operations, assist with onboarding reviews, and help maintain the firm's AML/CFT program in line with the UAE's Virtual Assets Regulatory Authority (VARA) requirements.

This is a hands-on compliance position, so attention to detail, ownership, and a strong sense of accountability are key.

The successful candidate will be familiar with virtual asset regulatory frameworks, client due diligence processes, and able to support regulatory filings, risk reviews, and controls testing with minimal handholding.

• Assist with institutional and individual onboarding reviews, including screening, documentation verification, and risk classification.
• Support the execution of the firm's AML/CTF framework, including ongoing monitoring, transaction reviews, and control testing.
• Conduct Enhanced Due Diligence (EDD) on high-risk clients, including preparation of risk memos and escalation packs where needed.
• Monitor and maintain client risk profiles, ensuring timely updates and reviews in line with internal policies.
• Support regulatory reporting requirements, including monthly and quarterly filings to VARA and any ad-hoc submissions.
• Liaise with internal teams (sales, operations, product) to resolve compliance-related issues.
• Maintain compliance registers and internal trackers.
• Assist with preparing documentation for audits, regulatory inspections, and internal reviews.
• Stay updated on regulatory changes and help with implementing policy updates accordingly.

• A minimum of 1-3 years of experience in a compliance, onboarding, or AML role—preferably within financial services, a fintech, or a VASP.
• A solid understanding of AML/CTF principles, risk-based approaches, and client due diligence.
• Experience handling high-risk client reviews, institutional onboarding, or regulatory reporting is a plus.
• Familiarity with UAE's regulatory environment, especially VARA, is a strong advantage.
• Strong research and writing skills (e.g., preparing EDD memos or summary reviews).
• Comfortable working in a fast-paced and evolving regulatory space.
• Professional fluency in English is required; Arabic is a plus.

About the Role:

This is an exciting opportunity to join a leading infrastructure provider of digital asset solutions and contribute to shaping the future of investing.

You'll work collaboratively with our team to ensure compliance with regulatory requirements, stay up-to-date on industry developments, and drive business growth through innovative solutions.

We're looking for a dedicated and proactive individual who shares our passion for regulatory compliance and is committed to delivering exceptional results.

• A dynamic and supportive work environment that fosters growth and development.
• Ongoing training and professional development opportunities to enhance your skills and expertise.
• A competitive compensation package that reflects your value to the organization.
• A chance to work with a talented team of professionals who share your passion for innovation and excellence.

How to Apply:

If you're a motivated and detail-oriented individual with a passion for regulatory compliance, we encourage you to apply for this exciting opportunity.

Bachelor of Business Administration (Management)

Nationality: Any Nationality

Opening: 1 Vacancy

• Develop and implement compliance frameworks for the organization.
• Conduct regular audits to ensure adherence to internal and external regulations.
• Monitor and assess the impact of regulatory changes on business operations.
• Provide expert advice to management on compliance-related matters and strategies.
• Coordinate with department heads to address compliance issues and develop solutions.
• Oversee staff training on compliance policies and practices.
• Prepare and present compliance reports to senior management and stakeholders.
• Serve as a liaison between the organization and regulatory bodies or auditors.
• Advise on potential compliance risks and develop risk mitigation strategies.
• Ensure company-wide adherence to data protection regulations.
• Lead investigations into compliance incidents and recommend corrective actions.

• Bachelor's degree in law, business, or a related field required.
• Proven experience in a regulatory compliance role, preferably in management.
• In-depth knowledge of industry regulations and compliance frameworks.
• Exceptional analytical skills and attention to detail in compliance reviews.
• Strong communication skills for advising management and presenting reports.
• Ability to manage multiple compliance projects and deadlines simultaneously.

Role Level: Mid-Level

Work Type: Full-Time

Country: United Arab Emirates

City: Abu Dhabi

To ensure compliance with all regulatory standards and elements established in GCAA CARs and any other standards or regulations as required by flydubai Approved Training Organisation (ATO) and Airport Operation Center (AOC) operation.

• Manages and monitors compliance with applicable GCAA regulations as per ATO certificate, ensuring all operational and training activities meet regulatory standards.
• Ensures the ATO Manual is up to date and all courses training programs are compliant with applicable regulations and IOSA standards.
• Develops and implements internal quality control audits programs to ensure that all training is delivered as per the standards set by the ATO Manual.
• Coordinates and leads projects to obtain and maintain flydubai ATO qualification with foreign authorities such as EASA, FAA, and GCAA.
• Coordinates projects to obtain and maintain qualifications and approvals for the Full Flight Simulators fleet owned by FZ ATO, including foreign authorities' approvals if required.
• Maintains records of all Certificates, Qualifications, and Approvals obtained by the ATO, monitoring expiries, and ensuring timely revalidation applications.
• Coordinates projects for developing Service Level Agreements (SLAs) with external service providers and monitors compliance post-signature.
• Conducts quality control audits on external service providers to ensure service compliance with regulations and standards set by flydubai ATO.
• Ensures the Operations Manual -D (OM-D) is current and training programs align with GCAA regulations and IOSA standards.
• Verifies that all IATA Operational Safety Audit (IOSA) standards applicable to Flight Training are documented and implemented.
• Maintains and updates internal manuals for Crew Training Department, such as the Crew Training Processes and Procedures Manual and Trainer Standards Manual.
• Develops and implements internal quality control audits to ensure training delivery adheres to standards set by OM-D and Crew Training manuals.
• Coordinates projects for developing SLAs with external service providers and monitors compliance.
• Conducts quality control audits on external service providers to ensure compliance with regulations and standards set by FZ Crew Training.

• Bachelor's Degree (3+ years)
• Experience in Regulatory Affairs
• Fluent in English (other languages an advantage)
• Minimum 6 years of experience in regulatory compliance within the aviation industry
• Proficiency in MS Office suite, including Excel
• Any relevant certifications in regulatory compliance

• Customer Focus
• Teamwork
• Effective Communication
• Personal Accountability & Commitment to achieve
• Resilience and Flexibility (Can-do attitude)

Reads and complies with the ISR policies of the Company, reporting any weaknesses or incidents to the Line Manager or the Information Security team. Completes all ISR awareness sessions and follows related guidelines in daily operations.