Compliance Oversight Manager

Location: UAE

As a Compliance Professional it’s your job to constantly ensure others are doing the right thing. But who is focusing on what’s best for you and your career?

Based in our M.E.N.A. flagship office, with a tax free salary and year- round sunshine, this really is the hottest job in Compliance right now!

GWM are leaders in the world of International Financial Planning, with offices in the Middle East, Central Europe, London and Miami. Keeping ahead of the curve and remaining compliant in every jurisdiction we operate is key to the continued success of our company.

Role and Responsibilities

Reporting to the Board of Directors, this role involves reviewing and overseeing all regulated process and procedures within the company to ensure compliance of all relevant regulatory legislation. You will;

  • Review and oversee regulated process and procedures within the Company for compliance of all relevant regulatory legislation.
  • Manage communications and interactions with the relevant regulatory authorities.
  • Timely and accurate reporting to relevant regulatory authorities.
  • Line management responsibility for all staff assigned to the Compliance Function.
  • Understand and keep up to date on all regulatory rules and laws pertaining to the licenced activities of GWM.
  • Ensuring all GWM advertising is compliant.
  • Reporting to the Board on all compliance related matters and key issues are highlighted quickly and managed effectively.
  • Timely production of compliance reports, ensuring all stakeholder receive the relevant information and the ongoing tracking of outstanding issues.
  • Maintain relationships with key stakeholders, both internal and external.
  • Continuously monitor external sources to keep abreast of current and proposed developments/changes, informing senior management as appropriate.
  • Ongoing monitoring, control and reporting to ensure key staff within GWM meet the necessary standards.
  • Continuously enhancing the compliance culture across GWM.
  • Develop and oversee a Training and Competency programme to ensure that continuous professional development of client facing staff is prioritised.
  • Provide guidance and support for key staff on compliance issues.
  • Monitor and maintain the GWM Compliance mailbox.
  • Keeping up to date on key issues with the compliance sector and ensuring senior management are kept abreast of relevant topics.
  • Manage and review client complaints and maintaining the Complaints Register.
  • Provide monthly MI on Complaint trends and propose improvements to mitigate recurring issues.
  • Input into the process of on-boarding new products/providers/services.

Desired skills and experience:

  • Minimum of five years experience in Compliance, preferably within a regulated financial services environment
  • Hold a Diploma or equivalent in Regulation and Compliance, or a related subject
  • Ideally hold a Degree in a related subject such as Business or Law
  • Up to date knowledge of FCA, and other relevant regulations
  • Able to work to tight deadlines and remain calm under pressure
  • A desire to promote a sound compliance function

Do the right thing for your career and apply now or call our recruitment team on: +44 (0)203 869 3230
or email careers@gwm-intl.com

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