Senior Compliance Officer – Investments

About the role

A prestigious investment firm in Abu Dhabi is looking for a Senior Compliance Officer to play a key part in keeping its diverse investment portfolio compliant. The role covers compliance monitoring, regulatory reporting and internal advisory for investment activities, acting as a trusted partner to the investment and operational teams.

Key responsibilities

• Monitor and ensure compliance with all applicable laws, regulations and internal policies relating to investment activities.
• Carry out compliance risk assessments and advise the investment team on the regulatory impact of transactions.
• Review investment transactions and documentation for legal and regulatory adherence.
• Keep up to date with regional and international regulatory developments affecting investments.
• Prepare and submit accurate, timely regulatory reports and filings.
• Work with legal, operations, risk and investment teams on coordinated compliance management.
• Train and support staff to promote a culture of compliance and ethical conduct.
• Support audits by preparing documentation and answering audit queries.
• Maintain compliance records and help develop and update compliance policies.
• Proactively escalate compliance risks and breaches.

Required profile

• Bachelor's degree in Law, Finance, Business Administration or a related field; Master's or professional certification is a plus.
• 7-10 years of compliance experience in investment management, asset management or financial services.
• In-depth knowledge of local and international regulatory frameworks affecting investment portfolios.
• Excellent attention to detail, analytical and problem-solving skills.
• Excellent English communication; Arabic is an advantage.
• Professional certifications such as ICA, ACAMS or similar are a strong advantage.