Job Description

COMPLIANCE MANAGER Department: Compliance & AML/TF Division: Compliance & AML/TF 
 Reports to: CHIEF EXECUTIVE OFFICER
Expected relationships with other departments:
• All Departments
JOB ROLES AND RESPONSIBILITIES
Key Role:Reporting to the CEO, the Compliance Manager is responsible for ensuring that COMPANY has effective systems,
procedures and controls for compliance with requirements and standards under the Regulatory System, Including Risk
Management, Governance, Anti-Money Laundering and Data Protection etc. The Compliance Manager is also
responsible for maintaining effective relationship with regulatory bodies and ensuring all notification and reporting
requirements are met. Key aspect of the Compliance Manager’s responsibility is to preserve and enhance COMPANY’s
reputation for integrity.
Summarized:• Review, maintain, and update the Firm’s regulatory filings, including those with The Capital Market Authority (CMA)
and the Saudi Arabian Monetary Authority (SAMA).
• Oversight of COMPANY’s compliance with regulatory system.
• Maintenance of documented and effective compliance procedures consistent with internal standards, business goals,  and attitude to risk
• Establishment, implementation, and maintenance of adequate policies and procedures sufficient to ensure
compliance with company's obligations under the regulatory system and for countering the risk that the COMPANY might
be used to further financial crime.
• Ensuring COMPANY’s compliance function has the necessary authority, resources, expertise, access to information,
and independence from activities being monitored.
• Ensuring that COMPANY’s systems and controls enable it to identify, assess, monitor and manage money
laundering risk, Including appropriate employee training in relation to money laundering.
• Ensuring appropriate documentation of risk management policies and risk profile in relation to money laundering.
• Ongoing monitoring of COMPANY’s compliance with relevant requirements.
• Review marketing materials and investor communications to ensure compliance with relevant laws and regulations.
• Internal reporting on risk management, resourcing and achievement of key performance indicators.
• Ensuring appropriate surveillance of business activities, including a review of investment allocations and investment
guidelines and restrictions, specifically as it relates to COMPANY’s investment products.
• Analysis and assessment of regulatory developments, and their effective implementation in line with the needs of the
business.
• Conducting annual review of the COMPANY’s policies and procedures, including testing of the policies and
procedures, and participate in the drafting of the report to the CEO regarding the same.
• Ensuring appropriate consumer outcomes to complaints and other issues arising from supervisory activities.
KPIs:• Set and Achievement of Strategic Objectives/Targets
• Systems & Controls in Place
• Policies & Procedures – Documentation & Communication
• Timely Adherence to All Notification and Reporting Requirements
• Progress in Implementing Compliance Program & Action Plans JOB DESCRIPTIONS • Level of Awareness & Understanding of Compliance Guidelines
• Soundness of Due Diligence of High-Risk Accounts Approved
• Number of Critical AML Suspicious Cases Reported/ Handled
• Level of Coverage of AML Monitoring Across the Firm
• Employee Engagement & Satisfaction
JOB REQUIREMENTS
Educational Qualifications & Certifications:• Bachelor's degree in Business Administration / Accounting / Finance
• Professional certification in compliance like the CISI Diploma in Investment Compliance is a plus
• Professional Certification Like General Securities Qualification Certificate (CME) a plus
• Fluency in English and Arabic
• Excellent written & communication skills.
Experience:• 10+ years of experience as compliance person in any reputable asset management firms
• Significant experience of risk, compliance and governance monitoring in a regulated financial services environment,
ideally within an investment management business.Other Knowledge and Skills:• Strong understanding of the asset management industry and securities markets, as well as a thorough knowledge of
securities laws that relate to investment advisers.
• Ability to analyze situations for compliance and business risk and implement solutions to address and mitigate such
risk.
• Skill in verbal and/or written communication of complex information that is accurate, timely and based on sound
judgment, and in making presentations to groups with varied levels of finance and investment knowledge.
• Ability to establish and maintain harmonious working relationships with co-workers, and external contacts, and to
work effectively in a professional team environment.
• Ability to understand new issues quickly and make wise decisions with analytical skills.
• Ability to build consensus and relationships among executives, partners, and the workforce.
• Ability to work under pressure, plan personal workload effectively and delegate.
• Proactive communicator with a positive leadership style
• Prioritize and plan effectively, working through conflicts, and identifying creative solutions; strong follow-up, time
management and people skills
Note: The Job Description is not intended to be all-inclusive. The employee may perform other related duties to meet the
ongoing organizational needs.Nationality: Saudi

Gender: Open

Required Knowledge, Skills, and Abilities

• interpersonal
• good communication
• proactive
• analytical
• time management
• people management

Education + Experience

• Qualification: Degree