Compliance Associate Investment Management📣 Job Ad

About Senna

Senna is seeking a Compliance Associate Investment Management to join its team in Dhahran, Eastern, Saudi Arabia. This role is integral to supporting the organization's compliance and business ethics framework, with a particular focus on investment management activities.

The Role: Compliance Associate, Investment Management

The Compliance Associate supports the Compliance & Business Ethics function at Senna, primarily focusing on investment compliance. This position contributes to the monitoring of investment activities, assists with regulatory initiatives, conducts compliance reviews, and helps reinforce a culture of ethics, integrity, and accountability throughout the organization.

Key Responsibilities

• Support the execution of the organization's compliance and business ethics program.
• Conduct compliance reviews and monitoring activities to assess adherence to regulatory and internal requirements.
• Monitor investment activities and ensure compliance with applicable investment guidelines and regulatory obligations.
• Review and assess compliance matters related to investment products, mandates, and financial market activities.
• Support regulatory assessments and assist in implementing regulatory developments affecting the organization.
• Assist in preparing compliance reports, management updates, and regulatory communications.
• Support the development, maintenance, and periodic review of compliance-related policies and procedures.
• Assist in managing compliance records, disclosures, and documentation.
• Support employee awareness and training initiatives relating to compliance and business ethics.
• Collaborate with internal stakeholders to provide compliance guidance and support business objectives.

Required Experience

Candidates for this role should possess 5 to 10 years of relevant experience in compliance, particularly within investment management or a related financial services sector.

Work Type and Location

This is a full-time position based in Dhahran, Eastern Province, Saudi Arabia.

Application Information

Interested candidates are encouraged to apply. Salary details will be discussed during the interview process.