Head of Regulatory Compliance




Banking & Financial Services

Mark Williams is working with a leading investment firm in the UAE.
We have an exciting opportunity for a compliance professional to spearhead their regulatory compliance function. This will have a global remit and cover multiple markets and asset classes.

The role:

- Lead a newly established Regulatory Compliance function
- Protect against, and continually mitigate, regulatory compliance risks against the buy-side investment activities
- Foster a ‘diligent compliance culture’ internally, in line with international standards
- ‘Go-to’ person for questions of regulation and compliance
- Design an investment compliance framework in line with international standards
- Design, draft, implement and update compliance policies covering various areas e.g. MNPI, Personal Trading Restrictions, Conflicts
- Train and educate the Front Office – covering regulatory compliance matters related to their activities
- Implement a robust governance process for monitoring and reporting of compliance issues


- Degree in Law, Business or Finance from a reputable university
- Professional certifications related to compliance being a ‘plus’
- Qualified lawyer would be a bonus
- Minimum 10-15 years’ regulatory compliance and policy experience preferably in a buy-side investment firm dealing with MNPI and Personal Trading Restriction issues

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