Associate Director – Compliance

About the role

The Associate Director – Compliance will lead the company's compliance and anti‑money‑laundering (AML) functions, ensuring that all activities adhere to DFSA regulations and internal policies. Reporting to the Head of Compliance, this senior position is responsible for shaping the compliance framework and overseeing its day‑to‑day execution.

Key responsibilities

• Establish and maintain the Company’s Compliance and AML policies and controls, documented in the relevant manuals.
• Manage the Compliance/AML functions in line with DFSA requirements and internal policies.
• Monitor daily compliance and AML activities, including client acceptance, regulatory returns, and complaint handling.
• Maintain registers and trackers such as breach, gifts, complaints, DFSA communications, employee, and outside‑business‑interest registers.
• Assist the CO/MLRO with AML risk assessments, periodic compliance reports, and submission of regulatory returns.
• Oversee ongoing KYC monitoring and ensure alignment with AML regulations.
• Provide assurance on the compliance environment and assess internal SAR reporting procedures.
• Deliver compliance and AML training to all staff and ensure adherence to the code of conduct.

Required profile

• Master’s degree with relevant professional qualifications in AML and Compliance.
• Minimum 5‑6 years of experience in compliance, risk, or audit within a financial‑institution environment.
• Experience in private banking or wealth management is preferred.