We're Hiring: Senior Compliance Associate
Location: United Arab Emirates (Remote)
Employment Type: Full-Time
Experience Level: Senior
Work Arrangement: Fully Remote
About UsWe are a globally focused organization committed to maintaining strong regulatory compliance, ethical business practices, effective governance, and responsible operations across diverse markets. Our teams collaborate across Compliance, Legal, Risk, AML, KYC, Internal Audit, Operations, Finance, Technology, Human Resources, and Business functions to establish effective compliance frameworks and controls.
Our compliance function combines regulatory monitoring, policy management, risk assessment, control testing, issue management, training, reporting, investigations support, and continuous improvement to help the organization meet applicable legal, regulatory, and internal requirements.
The RoleWe are seeking an experienced Senior Compliance Associate to support the development, implementation, monitoring, and continuous improvement of the organization's compliance framework.
The ideal candidate will provide practical compliance guidance, monitor regulatory obligations, conduct compliance reviews and control testing, support risk assessments and remediation, coordinate regulatory activities, and work with business teams to strengthen compliance processes and controls.
Key Responsibilities
- * Support the development, implementation, and maintenance of compliance policies, procedures, standards, and control frameworks.
- Monitor applicable laws, regulations, regulatory guidance, and industry requirements.
- Assess regulatory developments and identify potential impacts on business activities and operations.
- Translate regulatory requirements into practical compliance processes, controls, and procedures.
- Support periodic compliance risk assessments across business units, products, services, markets, and operational activities.
- Identify compliance risks, control gaps, process weaknesses, and emerging regulatory issues.
- Maintain compliance risk registers, control inventories, regulatory obligations, and issue logs.
- Conduct compliance reviews, monitoring activities, and control assessments.
- Develop compliance monitoring plans based on regulatory requirements, business risks, and organizational priorities.
- Perform testing of compliance controls and assess whether controls operate effectively.
- Document testing procedures, evidence, findings, conclusions, and recommended actions.
- Identify exceptions, breaches, deficiencies, and instances of non-compliance.
- Investigate compliance issues and coordinate appropriate escalation where required.
- Support root-cause analysis of compliance deficiencies and recurring control failures.
- Develop and track corrective and preventive actions.
- Monitor remediation activities and escalate overdue or high-risk issues.
- Maintain accurate records of compliance findings, actions, approvals, and closure evidence.
- Support compliance investigations involving potential policy breaches, regulatory violations, employee conduct, or business-process deficiencies.
- Coordinate with Legal, Risk, Internal Audit, AML, KYC, HR, and business teams on complex compliance matters.
- Provide practical compliance advice to business stakeholders on policies, procedures, and regulatory requirements.
- Review business processes, products, contracts, communications, and operational activities for compliance considerations where appropriate.
- Support compliance assessments for new products, services, markets, technologies, partnerships, and business initiatives.
- Review third-party and supplier compliance requirements and support appropriate due-diligence processes.
- Monitor compliance obligations relating to vendors, agents, intermediaries, contractors, and business partners.
- Maintain regulatory obligation registers and ensure relevant requirements are assigned to appropriate control owners.
- Support the implementation of regulatory changes across affected functions.
- Coordinate regulatory-change impact assessments and implementation plans.
- Monitor completion of regulatory-change actions and escalate implementation risks.
- Prepare compliance reports, dashboards, management information, and executive summaries.
- Track key compliance metrics, trends, breaches, findings, remediation status, and control performance.
- Prepare regular reports for Compliance leadership, senior management, governance committees, and relevant stakeholders.
- Support internal audits, external audits, regulatory inspections, compliance reviews, and independent assessments.
- Prepare documentation, evidence, responses, and remediation plans for audit and regulatory requests.
- Track audit and regulatory findings through resolution and closure.
- Support regulatory reporting and submissions where applicable.
- Maintain regulatory correspondence, filings, approvals, licenses, registrations, and compliance documentation.
- Assist with compliance training and awareness programs for employees and management.
- Develop training materials, guidance notes, FAQs, case studies, and compliance communications.
- Monitor employee completion of mandatory compliance training and follow up on outstanding requirements.
- Support awareness campaigns covering regulatory obligations, ethical conduct, policies, and risk controls.
- Maintain compliance procedures and guidance to ensure they remain current and accessible.
- Conduct periodic reviews of policies and procedures and recommend updates.
- Support compliance governance meetings, committees, working groups, and reporting forums.
- Prepare meeting materials, agendas, action logs, decisions, and follow-up documentation.
- Maintain appropriate confidentiality when handling sensitive compliance, employee, customer, and regulatory information.
- Ensure compliance records are complete, accurate, traceable, and readily available for review.
- Support compliance technology, workflow, case-management, monitoring, and reporting improvements.
- Evaluate opportunities to automate routine compliance monitoring, reporting, documentation, and control activities.
- Review compliance data quality and identify issues affecting monitoring, reporting, and risk assessment.
- Conduct trend analysis to identify recurring compliance issues and emerging areas of risk.
- Benchmark compliance practices against applicable regulatory expectations and recognized industry practices.
- Support continuous-improvement initiatives to strengthen compliance effectiveness and operational efficiency.
- Assist with compliance projects, remediation programs, regulatory implementations, and control-enhancement initiatives.
- Coordinate external consultants, compliance service providers, technology vendors, and specialist advisers where required.
- Provide management with timely updates on compliance risks, issues, regulatory developments, remediation, and improvement opportunities.
Key Performance Indicators
- * Compliance monitoring completion rate
- Compliance review completion
- Compliance testing accuracy
- Compliance control effectiveness
- Compliance exception rate
- Compliance breach rate
- Regulatory obligation completion
- Regulatory-change implementation rate
- Regulatory-change implementation timeliness
- Compliance risk-assessment completion
- Compliance risk identification accuracy
- Compliance risk-register accuracy
- Compliance issue identification
- Compliance issue resolution time
- Compliance issue aging
- Corrective-action closure rate
- Overdue remediation rate
- Repeat compliance issue rate
- Root-cause analysis completion
- Compliance finding recurrence
- Audit finding resolution
- Regulatory finding resolution
- Regulatory reporting accuracy
- Regulatory reporting timeliness
- Compliance documentation completeness
- Compliance documentation accuracy
- Policy review completion
- Policy implementation effectiveness
- Compliance training completion
- Compliance training effectiveness
- Employee compliance awareness
- Compliance communication reach
- Third-party compliance performance
- Compliance due-diligence completion
- Compliance data quality
- Compliance reporting accuracy
- Compliance reporting timeliness
- Compliance dashboard accuracy
- Compliance system performance
- Compliance automation adoption
- Compliance process efficiency
- Compliance project delivery performance
- Stakeholder satisfaction
- Regulatory readiness
- Continuous-improvement completion
Ideal CandidateThe successful candidate should have strong experience in regulatory compliance, compliance monitoring, risk and controls, governance, regulatory advisory, internal controls, or compliance operations, preferably within banking, financial services, fintech, insurance, professional services, technology, healthcare, or other regulated environments.
The candidate should demonstrate:
- Proven experience supporting or managing compliance programs and regulatory requirements.
- Strong understanding of regulatory compliance principles, governance, risk management, and internal controls.
- Experience conducting compliance monitoring, testing, reviews, and assessments.
- Strong knowledge of regulatory-change management and compliance obligation tracking.
- Experience identifying, documenting, escalating, and remediating compliance issues.
- Strong understanding of risk-based compliance methodologies.
- Experience supporting compliance risk assessments across products, services, processes, or business units.
