Compliance

• Manage the end-to-end incorporation process for Free Zone, Mainland, and Offshore structures (FZE, FZC, LLC)
• Prepare and process Memorandums of Association (MOA), Articles of Incorporation, corporate resolutions, and trade license applications
• Administer corporate updates, renewals, statutory updates, share transfers, director appointments, and corporate liquidations
• Assess client corporate profiles and match them with suitable regional and digital banks
• Prepare, pre-vet, and manage corporate bank account applications, ensuring UBO documentation meets compliance rules
• Coordinate with relationship managers and compliance officers to clear background checks, resolve source-of-wealth inquiries, and complete applications
• Screen UBOs, politically exposed persons (PEPs), and institutional clients
• Ensure procedures align with ADGM and DIFC CSP frameworks and federal compliance laws
• Establish and maintain a multi-jurisdictional Corporate Compliance Calendar covering trade license renewals, Commercial Registration updates, corporate tax, VAT, and audited financial statements
• Manage GCC compliance deadlines, including UBO updates, ESR declarations, and AML reporting
• Issue timely compliance alerts to clients
• Coordinate with commercial registries such as DET, DMCC, ADGM RA, and RAKEZ, as well as labor and immigration departments
• Guide clients through corporate banking introductions and visa/PRO allocations

Corporate Setup – Compliance Specialist

• Own and maintain a risk-based annual Compliance Monitoring & Assurance Plan (CMAP)
• Design and execute control testing across AML/CFT, sanctions, market abuse, client-asset safeguarding, complaint handling, outsourcing, and technology/cyber governance
• Apply full-cycle assurance methodology from scoping through closure validation
• Deliver thematic deep-dives aligned to FSRA supervisory priorities
• Ensure monitoring activities map to FSRA AML/CFT, COBS, GEN, PRU, and Virtual Asset framework obligations
• Support the Compliance Officer and MLRO under FSRA's risk-based supervision model
• Maintain evidence trails for FSRA information requests, inspections, and thematic reviews
• Monitor regulatory change and update the monitoring plan
• Produce board-ready assurance reports with quantified findings, severity ratings, and management action plans
• Operate issue-management and remediation-tracking frameworks
• Present monitoring results to Risk Committees, Compliance Committees, and the Board/Audit Committee where required
• Liaise with Internal Audit and external auditors
• Test CDD/EDD, KYC onboarding, periodic review, PEP/sanctions screening, transaction monitoring, and SAR/STR escalation
• Assess suspicious activity identification and reporting, including FIU-UAE submission quality
• Verify Targeted Financial Sanctions and asset-freeze controls
• Build, mentor, and lead the assurance team
• Set testing standards, perform quality review, and coach team members
• Manage resource allocation and delivery against agreed SLAs
• Maintain CMAT policies, methodologies, and documentation to an auditable standard
• Drive automation and data analytics
• Embed lessons learned into first- and second-line processes and training

Compliance jobs in United Arab Emirates

Corporate Setup – Compliance Specialist

Team Lead – Compliance Monitoring, Assurance & Testing