Legal and Compliance Officer

Overview

The Legal and Compliance Officer is responsible for overseeing and ensuring adherence to legal and regulatory standards within the organization. This role involves reviewing and advising on legal agreements, managing compliance programs, and providing support for Customer Due Diligence (CDD) and Anti-Money Laundering (AML) activities. The position requires a detailed-oriented individual who can effectively navigate complex legal landscapes and regulatory requirements while supporting various internal and external stakeholders.

Responsibilities

Analyze and review Non-Disclosure Agreements (NDAs) and brokerage transaction agreements
Provide advice on contractual issues, legal matters, and potential risks related to consultancy and brokerage.
Manage and oversee all compliance programs.
Investigate and address compliance violations.
Monitor regulatory changes, relevant laws, and regulations across the business; prepare and present reports for management.
Ensure adherence to complaint handling procedures; maintain records of complaints and actions taken.
Conduct continuous training and assessments for team members to ensure compliance awareness.
Perform general administrative tasks, including file creation and maintenance of ongoing administrative projects.
Implement and manage Customer Due Diligence (CDD) onboarding processes, including sanctions checks and verifications according to established procedures.
Provide CDD and AML support to all levels of stakeholders and external clients.
Review brokerage agreements and transactions in the context of CDD and AML compliance.
Assist with ongoing monitoring of clients.
Maintain and manage workflow in collaboration with the legal department.
Ensure achievement of weekly targets in a fast-paced, high-volume environment.
Maintain up-to-date knowledge of relevant CDD and AML regulations.
Contribute to the continuous improvement of the CDD function.

Skills and Qualifications

Qualifications/Education:

Legal Degree or a minimum of 3 years of experience in a reputable company providing dedicated CDD and AML support.
ICA certificate in AML, Financial Crime, or Compliance (optional).

Systems & IT Competence:

Proficiency in Microsoft Office packages.
Experience with Adobe (full version).
Familiarity with third-party CDD or client onboarding screening tools.

Skills and Aptitudes:

Understanding of CDD and AML processes.
Experience and technical knowledge of onboarding individuals and various non-complex entities is desirable but not essential.
Knowledge of UAE Federal Law No. 20 of 2018 (AML Law), UAE Federal Law No. 7 of 2014 on Combating Terrorist Offences, UAE Cabinet Resolution No. 10 of 2019, and UAE Cabinet Resolution No. 74 of 2020 on sanctions lists.
Experience with brokerage transactions.
Exceptional attention to detail.
Excellent written and verbal communication skills.
Professional presentation with a clear, confident speaking voice.
Strong time management and planning skills.
Positive, hands-on attitude towards supporting internal and external clients.
Language skills: Fluency in English, written and verbal. Fluency in Arabic or other languages is advantageous.
Travel: Flexible attitude towards travelling.

Overview

The Legal and Compliance Officer is responsible for overseeing and ensuring adherence to legal and regulatory standards within the organization. This role involves reviewing and advising on legal agreements, managing compliance programs, and providing support for Customer Due Diligence (CDD) and Anti-Money Laundering (AML) activities. The position requires a detailed-oriented individual who can effectively navigate complex legal landscapes and regulatory requirements while supporting various internal and external stakeholders.

Responsibilities

Analyze and review Non-Disclosure Agreements (NDAs) and brokerage transaction agreements
Provide advice on contractual issues, legal matters, and potential risks related to consultancy and brokerage.
Manage and oversee all compliance programs.
Investigate and address compliance violations.
Monitor regulatory changes, relevant laws, and regulations across the business; prepare and present reports for management.
Ensure adherence to complaint handling procedures; maintain records of complaints and actions taken.
Conduct continuous training and assessments for team members to ensure compliance awareness.
Perform general administrative tasks, including file creation and maintenance of ongoing administrative projects.
Implement and manage Customer Due Diligence (CDD) onboarding processes, including sanctions checks and verifications according to established procedures.
Provide CDD and AML support to all levels of stakeholders and external clients.
Review brokerage agreements and transactions in the context of CDD and AML compliance.
Assist with ongoing monitoring of clients.
Maintain and manage workflow in collaboration with the legal department.
Ensure achievement of weekly targets in a fast-paced, high-volume environment.
Maintain up-to-date knowledge of relevant CDD and AML regulations.
Contribute to the continuous improvement of the CDD function.

Skills and Qualifications

Qualifications/Education:

Legal Degree or a minimum of 3 years of experience in a reputable company providing dedicated CDD and AML support.
ICA certificate in AML, Financial Crime, or Compliance (optional).

Systems & IT Competence:

Proficiency in Microsoft Office packages.
Experience with Adobe (full version).
Familiarity with third-party CDD or client onboarding screening tools.

Skills and Aptitudes:

Understanding of CDD and AML processes.
Experience and technical knowledge of onboarding individuals and various non-complex entities is desirable but not essential.
Knowledge of UAE Federal Law No. 20 of 2018 (AML Law), UAE Federal Law No. 7 of 2014 on Combating Terrorist Offences, UAE Cabinet Resolution No. 10 of 2019, and UAE Cabinet Resolution No. 74 of 2020 on sanctions lists.
Experience with brokerage transactions.
Exceptional attention to detail.
Excellent written and verbal communication skills.
Professional presentation with a clear, confident speaking voice.
Strong time management and planning skills.
Positive, hands-on attitude towards supporting internal and external clients.
Language skills: Fluency in English, written and verbal. Fluency in Arabic or other languages is advantageous.
Travel: Flexible attitude towards travelling.

Legal and Compliance Officer

Legal and Compliance Officer

Overview

Responsibilities

Analyze and review Non-Disclosure Agreements (NDAs) and brokerage transaction agreements

Provide advice on contractual issues, legal matters, and potential risks related to consultancy and brokerage.

Manage and oversee all compliance programs.

Investigate and address compliance violations.

Monitor regulatory changes, relevant laws, and regulations across the business; prepare and present reports for management.

Ensure adherence to complaint handling procedures; maintain records of complaints and actions taken.

Conduct continuous training and assessments for team members to ensure compliance awareness.

Perform general administrative tasks, including file creation and maintenance of ongoing administrative projects.

Implement and manage Customer Due Diligence (CDD) onboarding processes, including sanctions checks and verifications according to established procedures.

Provide CDD and AML support to all levels of stakeholders and external clients.

Review brokerage agreements and transactions in the context of CDD and AML compliance.

Assist with ongoing monitoring of clients.

Maintain and manage workflow in collaboration with the legal department.

Ensure achievement of weekly targets in a fast-paced, high-volume environment.

Maintain up-to-date knowledge of relevant CDD and AML regulations.

Contribute to the continuous improvement of the CDD function.

Skills and Qualifications

Overview

Responsibilities

Analyze and review Non-Disclosure Agreements (NDAs) and brokerage transaction agreements

Provide advice on contractual issues, legal matters, and potential risks related to consultancy and brokerage.

Manage and oversee all compliance programs.

Investigate and address compliance violations.

Monitor regulatory changes, relevant laws, and regulations across the business; prepare and present reports for management.

Ensure adherence to complaint handling procedures; maintain records of complaints and actions taken.

Conduct continuous training and assessments for team members to ensure compliance awareness.

Perform general administrative tasks, including file creation and maintenance of ongoing administrative projects.

Implement and manage Customer Due Diligence (CDD) onboarding processes, including sanctions checks and verifications according to established procedures.

Provide CDD and AML support to all levels of stakeholders and external clients.

Review brokerage agreements and transactions in the context of CDD and AML compliance.

Assist with ongoing monitoring of clients.

Maintain and manage workflow in collaboration with the legal department.

Ensure achievement of weekly targets in a fast-paced, high-volume environment.

Maintain up-to-date knowledge of relevant CDD and AML regulations.

Contribute to the continuous improvement of the CDD function.

Skills and Qualifications