Compliance Associate📣 Job Ad

About Wisayah Investment Company

Wisayah Investment Company is seeking a Compliance Associate to join its team in Dhahran, Eastern, Saudi Arabia. This is a full-time position focused on supporting the organization's commitment to regulatory adherence and ethical practices within the investment sector.

Role Overview

The Compliance Associate supports the Compliance & Business Ethics function, primarily focusing on investment compliance. This role involves assisting in the monitoring of investment activities, contributing to regulatory compliance initiatives, conducting reviews, and fostering a strong culture of ethics, integrity, and accountability across 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.
• Assist in monitoring investment activities and ensuring 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 the implementation of regulatory developments impacting 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 the management of 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.

Educational and Professional Qualifications

• Bachelor's or Master's Degree in Finance, Investments, Economics, Accounting, Business Administration, Law, or a related discipline.
• Professional certifications in investments, compliance, governance, risk management, or related disciplines are considered an advantage.

Required Experience and Knowledge

• Minimum of 5 years of relevant experience in investment compliance, asset management, investment operations, financial services compliance, risk management, internal audit, or a related field.
• Experience within an investment management company, asset manager, investment firm, pension fund, sovereign wealth fund, or other regulated financial institution is strongly preferred.
• Demonstrated understanding of investment products, financial markets, portfolio management concepts, and regulatory requirements applicable to investment activities.

Work Environment

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