Compliance Officer - Digital Securities Exchange
Compliance Officer - Digital Securities Exchange
Our client is a leading investment management firm with a strong regional presence. They are seeking a corporate secretarial and governance professional to join their Legal team, supporting a broad range of governance, board, and legal administration activities across multiple entities and jurisdictions.
Responsibilities for this Compliance Officer - Digital Securities Exchange role
- Take a hands-on role in licensing and regulatory matters, particularly across Bahrain and the wider Middle East
- Assist with compliance obligations associated with the operation of a regulated capital-markets / exchange platform.
- Support AML/KYC and customer due diligence, including onboarding and periodic reviews of institutional and accredited investors.
- Conduct sanctions, PEP and adverse-media screening, escalating potential compliance concerns where required.
- Maintain internal compliance policies, procedures, registers and regulatory records.
Requirements for this Compliance Officer - Digital Securities Exchange role
- Approximately 3-5 years of Compliance, Regulatory Compliance, AML/KYC or Financial Crime experience.
- Experience within a brokerage, securities exchange, capital-markets firm, fintech, private bank, asset manager, digital-asset platform or other MAS-regulated financial institution would be advantageous.
- Hands-on regulatory or licensing experience in the Middle East is highly preferred, particularly Bahrain and/or Dubai/UAE.
- Some understanding of MAS regulatory requirements, AML/CFT and capital-markets regulations.
- Proactive, hands-on and interested in developing across a broad compliance remit.
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