Regulatory Compliance Manager - Asset Management (UAE)

Regulatory Compliance Manager – Asset Management (UAE)

Location: Dubai, UAE

Experience: 5–10 years

Level: Manager / Senior Manager

Start Date: Mid-November to Early December

Reporting To: Chief Compliance Officer

Sector: Asset Management (Consulting Engagement)

Role Overview

We are seeking a Regulatory Compliance Manager to support one of our ** asset management clients** in the UAE. The role involves ensuring adherence to local regulatory frameworks and international compliance standards, while helping enhance governance and control environments across investment management activities.

Key Responsibilities

Regulatory Compliance

• Ensure compliance with UAE regulatory frameworks relevant to asset management and fund distribution.
• Support license-related documentation, submissions, and engagement with local regulators.
• Act as the key liaison for regulatory approvals, renewals, and compliance queries.
• Monitor and interpret regulatory developments from the SCA, Central Bank, and other authorities, updating internal policies as required.

Compliance Framework & Policy Development

• Draft and implement comprehensive Compliance Manuals aligned with UAE regulations.
• Establish and maintain robust AML/CFT and ** KYC** frameworks in line with UAE law and FATF guidance.
• Ensure compliance with FATCA, CRS, and Ultimate Beneficial Ownership requirements.
• Maintain a compliance risk register and oversee compliance monitoring plans.

Governance & Oversight

• Support the design and implementation of a **Distributor Oversight Framework **.
• Conduct due diligence and ongoing monitoring of third parties involved in fund distribution.
• Coordinate internal audits and regulatory reporting obligations.
• Manage the Regulatory Reporting Calendar and ensure timely submissions.

Training & Awareness

• Deliver internal training on compliance, AML/KYC, and regulatory responsibilities.
• Conduct onboarding and refresher training for business teams and stakeholders.

Qualifications & Skills

• Bachelor’s degree in Law, Finance, or a related field (postgraduate preferred).
• Professional certifications such as **CAMS **, ** ICA **, or equivalent.
• Strong understanding of UAE and DIFC regulatory requirements related to **asset management **.
• Proven experience in **regulatory compliance , with exposure to ** KYC/AML frameworks.
• Excellent communication and stakeholder management skills.