Our client is a boutique DIFC based investment firm who are looking to hire a Head of Legal & Compliance. This is an on site role which plays an important part in ensuring that all business activities are conducted in line with DFSA regulation and guidelines.

Responsibilities:

• Conduct compliance monitoring, overseeing compliance for both internal and external clients to identify, monitor, and manage regulatory risks.
• Analyse business risks, providing compliance advisory for existing and new business opportunities across the entire group.
• Ensure fulfilment of regulatory requirements and adherence to Company standards, DFSA, and ADGM rules and regulations.
• Assess the adequacy of the Compliance Monitoring Program continuously, conducting periodic monitoring for compliance with regulatory requirements and internal policies.
• Review and update the Internal Control System framework and the Company\'s Compliance Manual in response to new regulations and internal policies.
• Monitor Company and Client transactions to prevent regulatory and ethics infringements.
• Provide compliance advisory and updates on regulatory developments to the business.
• Prepare and present reports to Senior Management and the Board of Directors.
• Manage regulatory matters, including relationships with regulators, regulatory examinations, licensing, and regulatory filings.
• Collaborate with business leaders to maintain a culture of integrity, compliance, and excellence through policy enforcement and regular training.
• Conduct investigations and follow-up on audits, inspections, and complaints.
• Monitor legal issues affecting the industry, ensuring Company compliance with all legal and regulatory requirements.

Qualifications

• Degree educated in either a Finance or Law related subject with industry qualifications to support your experience
• Minimum of 3+ years dealing with DFSA/FSRA regulatory frameworks
• Excellent communication skills with the ability to build and maintain key stakeholder relationships
• Strong analytical and strategic abilities
• In depth knowledge of the UAE financial services industry

Thank you for your interest. All applications are viewed and evaluated according to the role requirements. We aim to contact shortlisted candidates within 2 weeks. As we often receive a high volume of applications, we are unable to reply to everyone. If you have not heard back from us within 2 weeks, please consider your application unsuccessful.

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