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Regulatory Compliance Manager - Asset Management (UAE)

CapitexDubai, Dubai, United Arab Emirates
On-site Full-time

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Experience Level

Mid to Senior

Qualifications

Qualifications & SkillsBachelor’s degree in Law, Finance, or a related field (postgraduate degree preferred). Professional certifications such as CAMS, ICA, or equivalent. Deep understanding of UAE and DIFC regulatory requirements pertaining to asset management. Demonstrated experience in regulatory compliance, including exposure to...

About the job

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

Capitex is on the lookout for a dedicated Regulatory Compliance Manager to join our dynamic team in Dubai, supporting our esteemed asset management clients. This pivotal role entails ensuring compliance with local regulations and international standards while enhancing governance and control mechanisms across investment management operations.

Key Responsibilities

Regulatory Compliance

  • Ensure adherence to UAE regulatory frameworks pertinent to asset management and fund distribution.
  • Assist with license-related documentation and engage with local regulatory bodies.
  • Act as the primary contact for regulatory approvals, renewals, and compliance inquiries.
  • Monitor regulatory changes from the SCA, Central Bank, and other relevant authorities, updating internal policies as necessary.

Compliance Framework & Policy Development

  • Develop and implement comprehensive Compliance Manuals in accordance with UAE regulations.
  • Establish and uphold robust AML/CFT and KYC frameworks in line with UAE law and FATF guidelines.
  • Ensure compliance with FATCA, CRS, and Ultimate Beneficial Ownership mandates.
  • Maintain a compliance risk register and supervise compliance monitoring plans.

Governance & Oversight

  • Assist in the design and execution of a Distributor Oversight Framework.
  • Conduct due diligence and continuous monitoring of third-party entities involved in fund distribution.
  • Coordinate internal audits and fulfill regulatory reporting obligations.
  • Manage the Regulatory Reporting Calendar to ensure timely submissions.

Training & Awareness

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

About Capitex

Capitex is a leading consultancy firm specializing in asset management and regulatory compliance solutions tailored for the unique demands of the UAE market. Our commitment to excellence drives us to foster a culture of integrity, innovation, and collaboration.

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