Exclusive: Compliance Manager Had Uk Compliance Broker D

Overview

EXCLUSIVE: COMPLIANCE MANAGER (ABU DHABI) – MUST HAVE HAD UK COMPLIANCE EXPERIENCE IN BROKER DEALERS, INVESTMENT BANKING OR SECURITIES TRADING

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We are exclusively recruiting for a leading Broker Dealer in Abu Dhabi, which offers multi asset trading globally, custody solutions & prime brokerage, to Institutions & Hedge Funds as well as Family Offices & HNWI’s. They are seeking a Compliance Manager to be responsible for supporting and maintaining the firm’s enterprise-wide risk management framework in accordance with FSRA and ADGM requirements, with formal reporting lines to the Head of Compliance & Risk and the Board, whilst detailed duties will include

• Deputise for the Head of Compliance & Risk when necessary
• Assist in all day to day Compliance duties including Compliance Monitoring and advising on trade deals
• Implement the risk management framework of the Firm ensuring that all relevant risks are identified and recorded in the Risk Register and enable the Firm to assess the major risks to which it is exposed, providing advice to the CEO and the Board for any major risks that arise;
• Developing a framework of Key Risk Indicators covering all risk types to enable the monitoring of the risk profile and exposures of the Firm and reporting on findings and exceptions to senior management as appropriate depending on their significance;

The role includes supporting and maintaining the enterprise-wide risk management framework in line with FSRA and ADGM requirements, with formal reporting to the Head of Compliance & Risk and the Board. Duties include deputising for the Head of Compliance & Risk as required, performing day-to-day Compliance duties, monitoring, and advising on trade deals, and developing KRIs to monitor risk across the firm.

You should have at least 5 years of Compliance experience including monitoring across Equities & Fixed Income supporting Institutional clients, with some of that experience must have been with a UK sell side firm (Broker Dealer/Brokerage, Investment Bank or Securities Trading Firm), even if already moved to the UAE. You should also be willing to quickly pick up any required areas of Risk not already familiar with.

Although the main office are in Abu Dhabi the firm operates a 3d pw hybrid policy so it would be easy to live in Dubai and commute on those days (around one hour from south of Dubai) whilst benefits include tax-free salary (worth up to £140K UK gross), discretionary bonus, housing allowance, private medical, full relocation package and annual family return flights to the UK.

NB We have been recruiting in the UAE since 2005 whilst I have visited both Abu Dhabi & Dubai many times, so very happy to discuss lifestyle including cost of living with suitable applicants (and explain the onshore/offshore regulatory structures if not yet familiar with). So, if that sounds like you, then please send your details to our MD, David Symes FCA, at dmsy (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.