Senior Compliance Officer – Investments

Are you an experienced compliance professional with a passion for investment operations? We are looking for a Senior Compliance Officer – Investments to join a prestigious investment firm in Abu Dhabi, playing a pivotal role in ensuring regulatory compliance across their diverse investment portfolio.

In this role, you will oversee compliance monitoring, regulatory reporting, and internal advisory for investment activities. You will act as a trusted partner to the investment and operational teams, helping safeguard the firm's reputation and ensuring all activities align with regulatory and internal policy requirements.

Key Responsibilities:

• Monitor and ensure compliance with all applicable laws, regulations, and internal policies related to investment activities.
• Conduct compliance risk assessments and provide guidance to the investment team on regulatory impacts of transactions.
• Review investment transactions and documentation to ensure legal and regulatory adherence.
• Maintain up-to-date knowledge of regional and international regulatory developments impacting investments.
• Prepare and submit accurate, timely regulatory reports and filings.
• Collaborate with internal teams (legal, operations, risk, and investment) to ensure coordinated compliance management.
• Provide training and support to promote a culture of compliance and ethical conduct.
• Support audit processes by preparing required documentation and addressing audit queries.
• Maintain comprehensive records of compliance activities and assist in developing and updating compliance policies.
• Escalate compliance risks and breaches proactively, supporting prompt resolution.

Requirements

To be considered for this role, you need to meet the following criteria:

• 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 within investment management, asset management, or financial services.
• In-depth knowledge of local and international regulatory frameworks impacting investment portfolios.
• Hands-on experience with regulatory reporting, compliance monitoring, and risk assessments in the investment space.
• Excellent attention to detail, with strong analytical and problem-solving skills.
• Excellent communication skills in English (Arabic is an advantage).
• Proactive, collaborative mindset with the ability to engage cross-functional teams effectively.
• Professional certifications such as ICA, ACAMS, or similar would be a strong advantage.

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Disclaimer: Please note that Black Pearl will never ask any of its candidates for any payment in exchange for our service in helping candidates find a job. Our service is free to our candidates and the recruitment fee is paid by our clients. If you receive any emails, SMS, or calls requesting you to pay from someone claiming to be an employee of Black Pearl before they can process your application, please report and write an email to info@blackpearlconsult.com or contact our office at +9712 6225503.

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