Risk and Compliance Officer

Responsibilities:

Regulatory Compliance & Liaison

• Act as the designated Compliance Officer in accordance with the requirements of the Capital Markets Authority (CMA) Regulations. 
• Serve as the primary liaison with regulators including the Capital Markets Authority and the Office of the Data Protection Commissioner. 
• Coordinate regulatory filings, statutory returns, disclosures, and incident reporting. 
• Monitor and advise management on regulatory developments affecting fund management operations. 

Enterprise Risk Management (ERM)

• Develop, implement, and maintain the firm’s Enterprise Risk Management framework aligned with global best practices. 
• Identify, assess, and monitor key risks across the organization. 
• Maintain a comprehensive Risk Register and report key risk indicators (KRIs) to Senior Management 
• Oversee Business Continuity Planning (BCP) and disaster recovery readiness  

Compliance Monitoring & Testing 

• Develop and implement a Compliance Monitoring Plan approved by the Board.  
• Conduct periodic compliance reviews across: 
• Portfolio management activities 
• Marketing materials 
• Fund disclosures 
• Investor onboarding processes 
• Monitor and ensure compliance with all the policies of the company 
• Report breaches and recommend corrective actions 
• Develop and deliver periodic compliance related trainings 

Contractual & Legal Risk Management

• Review and manage key agreements including:
• Investment management agreements 
• Custodian and Trustee agreements 
• Vendor contracts 
• Oversee litigation management, including coordination with external counsel, litigation processes and reporting.  

Governance & Board Reporting

• Support the Company Secretary with board administration and board  governance matters, including convening of meetings and other relevant matters. 

Qualifications

• Bachelor’s degree in Law (LL.B), Social Sciences, or Statistics. A Master’s degree or professional certifications in corporate/commercial law or data protection such as CIPP/E is an added advantage.  
• Professional certifications in corporate governance, compliance or data protection (e.g. ICS, ICPAK) is highly desirable.  
• Minimum of 2 years’ experience in risk and compliance in a corporate and commercial firm or capital markets environment.