Compliance Officer, Finance & Banking

1. Implement and review the compliance program and ensure alignment with internal policies and regulatory requirements, recommending corrective actions when needed.

2. Prepare compliance reports, analyze relevant data, and document any deviations, suspicions, or violations.

3. Monitor adherence to the Code of Conduct and policies related to information protection and conflict of interest.

4. Review client files during account opening, apply customer due diligence, and classify clients in coordination with relevant departments.

5. Monitor employee personal trading activities, especially those with external investment accounts, and act where necessary.

6. Detect suspicious transactions and ensure compliance with Anti-Money Laundering (AML) regulations, liaising with appropriate parties as required.

7. Conduct initial reviews of new investment products to ensure they align with internal and regulatory standards.

8. Follow up on updates and circulars issued by the Capital Market Authority (CMA) and other relevant regulatory bodies and communicate them across departments.

9. Regularly review and update compliance policies and procedures to reflect new laws or changes in regulations.

10. Support staff training on compliance principles and promote a culture of ethical conduct across the organization.

11. Ensure corporate governance and compliance requirements are met and updated, coordinating with relevant departments.

12. Maintain accurate and organized records and documentation related to compliance and employee requirements.

13. Coordinate with internal teams to submit mandatory reports to regulators in a timely manner.

14. Perform additional tasks as directed by the line manager in relation to compliance and internal affairs.

• Bachelor's degree in business administration, Law, Accounting, or Finance.

• Passing the CME-2 exam issued by the Capital Market Authority.

Years of experience are required.

• 2 to 3 years of relevant experience, preferably in compliance roles within banks or financial institutions.