Job description

The Compliance Manager (CBDFS) role in Dubai leads and embeds a comprehensive compliance culture across CBDFS, ensuring adherence to applicable legal standards and CBD Group policies and procedures while safeguarding the firm from reputational and regulatory risk arising from trading activities. The mandate covers leading the CBDFS Financial Crime Compliance function to identify, mitigate, and prevent financial crime risks; developing and implementing the CBDFS compliance framework, including Anti-Money Laundering and Counter-Terrorist Financing, Sanctions, KYC, and Anti-Bribery & Corruption policies and procedures; reviewing new policies and procedures across operations, brokerage, and customer services to identify weaknesses and implement corrections; and ensuring obligations are met with SCA Regulations and UAE financial markets rules (SCA, DFM, ADX) for assured compliance. The role conducts regular gap assessments against CBD Group policies and procedures and against SCA regulations, manages SCA inspections end-to-end (inspection matrices, timelines, requirements aggregation, assessments, follow-ups), and prepares checklists to assure proper application of CBDFS and SCA roles. Responsibilities include implementing the Compliance Self Risk Assessment (CRSA) across CBDFS departments, managing and monitoring the Margin Trading Clients program and governance, providing advice and formal Compliance Opinions on regulatory compliance and money laundering to all CBDFS departments, reporting deviations from policy and issues bearing reputational, credit, market, and operational risk with mitigation controls, and reporting control and compliance issues (including quarterly compliance examination results, recommendations, and management responses) to CBDFS Management, the Executive Manager, and the Group Chief Compliance Officer. The role supports writing policies, procedures, and notices to meet SCA rules and regulatory expectations on sanctions; supports sanctions compliance training by preparing presentations, delivering training, and maintaining records; collaborates with other departments to channel compliance issues for investigation and resolution; ensures no fines through sustained compliance with rules and regulations; ensures business activities comply with applicable sanctions laws and international lists by providing assurance that sanctions controls are embedded within bank processes; reviews and investigates all breaches, discrepancies, and irregular activities with corrective actions; and defines and ensures the integrity of all sanctions lists for payment and name screening systems so the bank does not deal with sanctioned persons or entities.