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Compliance Officer, Investment Management

Description

byteSpark.ai is supporting a Dubai-based investment management client to hire a Compliance Officer. The successful candidate will support the compliance framework of a regulated investment business. Direct hands-on compliance responsibility within an asset manager, fund manager, private equity firm, family office, wealth manager, investment company, or comparable regulated investment business is required, including responsibility for its funds, investment products, or investors. General commercial banking, exchange-house, payments, virtual-asset, or FX/CFD brokerage AML experience alone is not sufficient unless it included this direct investment-related compliance responsibility. Responsibilities include investor and client onboarding reviews covering KYC, CDD, EDD, beneficial ownership, source of wealth and funds, sanctions, PEPs, and adverse media. The role also covers higher-risk investors and complex ownership structures; risk-based monitoring, thematic reviews and control testing; issue tracking and remediation; and maintaining policies, procedures, registers, regulatory filings and management reports. The Compliance Officer will advise investment, operations and senior management teams on UAE and GCC regulatory obligations, support AML/CFT training and regulatory change, and assist with audits, inspections and external communications. Professional English, sound judgment, attention to detail and the ability to manage day-to-day compliance work independently are required. Arabic is strongly preferred but is not required.

Who is this role for

This role is suited to a hands-on compliance professional with at least five years of experience and direct responsibility in an asset manager, fund manager, private equity firm, family office, wealth manager, investment company, or similar regulated investment business. You will work closely with investment and operations teams on investor due diligence, AML/CFT controls, monitoring, and UAE regulatory requirements. General banking, exchange-house, payments, virtual-asset, or FX/CFD brokerage AML experience alone is not sufficient unless it included direct compliance responsibility for investment funds, products, or investors. Arabic is strongly preferred but is not required.

Requirements

  • At least five years of hands-on compliance experience, including responsibility for day-to-day compliance activities.
  • Direct hands-on compliance responsibility within an asset manager, fund manager, private equity firm, family office, wealth manager, investment company, or comparable regulated investment business, including responsibility for its funds, investment products, or investors. General banking, exchange-house, payments, virtual-asset, or FX/CFD brokerage AML experience alone is not sufficient.
  • Professional fluency in English is required. Arabic fluency is strongly preferred but is not required.
  • Practical AML/CFT experience covering KYC, CDD, EDD, UBO verification, source of wealth, source of funds, sanctions, PEPs, adverse media, transaction monitoring, and suspicious activity escalation.
  • Working knowledge of UAE or GCC financial regulatory frameworks, with exposure to SCA, DFSA, FSRA, DIFC, or ADGM requirements.
  • Experience conducting compliance risk assessments, risk-based monitoring, control testing, thematic reviews, issue documentation, and remediation tracking.
  • Experience maintaining or developing compliance policies, procedures, internal controls, registers, regulatory filings, and management reports.
  • Experience reviewing investment-sector clients or structures, such as funds, institutional investors, investment companies, professional clients, HNWIs, or complex legal entities.

Desirable

  • CAMS, ICA, or another recognized compliance, AML, or financial crime qualification.
  • Experience supporting regulatory inspections, external audits, licensing submissions, or responses to UAE financial regulators.
  • Knowledge of suitability, appropriateness, conflicts of interest, client assets, investment conduct, or fund governance controls.
  • Experience preparing compliance reports for Boards, committees, senior management, or regulated function holders.
  • Experience implementing regulatory change or improving compliance processes, systems, or controls.
Role Highlights
📍 Location
DIFC, Dubai, UAE
💼 Work Location Type
Onsite
📄 Employment Type
Full-time
📈 Job Level
Mid Level
⌛ Experience
5+ years of compliance experience, including experience in asset management or a similar investment business.
🏢 Department
Finance
🏭 Industry
Finance
🔹 Sub-Industry
Capital Markets
Getting StartedA few quick details so we know how to reach you
How did you hear about us? *
Which country's passport do you hold? *
Email *(Please ensure the email matches the one mentioned in your CV or resume)
LinkedIn Profile URL *
Please provide your current and expected salary in the box below (with currency): *
Please mention your notice period *
Let’s Get to Know You BetterA few short questions to understand your experience and what you enjoy doing
1. Do you have at least five years of hands-on compliance experience in a regulated financial services business? *
2. Have you held a Compliance Officer role with responsibility for day-to-day compliance activities? *
3. Have you personally held compliance responsibilities in an asset manager, fund manager, private equity firm, family office, wealth manager, investment company, or comparable regulated investment business, including direct responsibility for its funds, investment products, or investors? Briefly describe the business and your responsibilities. General banking, exchange-house, payments, virtual-asset, or FX/CFD brokerage AML experience alone does not qualify. *
4. Are you currently based in Dubai, UAE? *
5. Are you professionally fluent in English? *
6. Are you professionally fluent in Arabic? *
7. Have you personally handled investor or client due diligence, including KYC, CDD, EDD, beneficial ownership, source of wealth or funds, and sanctions or PEP screening? *
8. Have you worked with UAE or GCC financial regulatory requirements, such as SCA, DFSA, FSRA, DIFC, or ADGM? *
9. Have you conducted compliance monitoring or risk assessments and followed issues through remediation? *
Final DetailsSalary expectations and any supporting credentials
1. Where does your salary sit today (so we can help it move up tomorrow)?*
Enter your monthly salary in your local currency
2. What’s the number that’ll make you say "this is worth it"?*
Per month, in the currency mentioned
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Frequently Asked Questions (FAQs)Have a question? Check here for quick answers

No. byteSpark.ai is supporting the search as the recruitment partner. The hiring company is a Dubai-based regulated investment management business. We can share further client details during the recruitment process.

You will work across investor due diligence, AML/CFT controls, compliance monitoring, regulatory requirements and practical advice to investment and operations teams. The role offers the chance to contribute to the ongoing development of the compliance framework.

The client is particularly interested in hands-on compliance experience in asset management, investment management, funds, private equity, family offices, wealth platforms or a similar regulated investment business.

Professional English is required. Arabic is strongly preferred and would be an advantage, but it is not a mandatory requirement.

The role is based in Dubai, UAE. The specific work arrangement can be discussed during the recruitment process.

The role includes investor and client due diligence, risk-based monitoring, control testing, policy and procedure maintenance, regulatory reporting, and support for audits or regulatory inspections.