Compliance & AML Manager

The Compliance & AML Manager is responsible for managing the Company's day-to-day Compliance and AML/CTF activities and supporting the effective implementation of the Company's compliance, AML/CTF, targeted financial sanctions, and regulatory monitoring frameworks.

The role supports the Company in maintaining compliance with applicable Capital Market Authority requirements, license conditions, internal policies and procedures, and regulatory obligations relating to its securities business activities, products, services, and client relationships.

Compliance

• Monitor the Company's compliance with applicable CMA regulations, rules, circulars, license conditions, regulatory requirements, and internal policies and procedures.
• Maintain and periodically update the regulatory obligations register and assess the impact of new or amended regulatory

requirements

on the Company's activities.

• Manage the preparation and execution of the annual Compliance Monitoring Plan in accordance with the approved risk-based methodology.
• Conduct compliance monitoring reviews, control testing, and thematic reviews, identify compliance gaps and weaknesses, and follow up on corrective actions until closure.
• Review new products, services, investment journeys, client journeys, systems, and material business or operational changes from a compliance perspective before implementation.
• Review client agreements, terms and conditions, disclosures, policies, procedures, marketing materials, and other client-facing communications for compliance with applicable regulatory requirements.
• Support the assessment and ongoing monitoring of arrangements involving outsourcing, third-party service providers, brokers, custodians, fund managers, and other relevant external parties.
• Monitor the Company's compliance with applicable client protection, conduct of business, disclosure, suitability, conflicts of interest, and complaint-handling requirements.
• Coordinate the preparation of regulatory reports, filings, responses, notifications, and information requested by the CMA.
• Support regulatory inspections, supervisory reviews, and information requests, including coordination of responses and follow-up on regulatory observations and corrective actions.
• Maintain appropriate records and supporting evidence of compliance monitoring, reviews, regulatory communications, and corrective actions.

AML/CTF

• Manage the implementation and ongoing maintenance of the Company's AML/CTF and targeted financial sanctions framework in accordance with applicable

requirements

and approved policies an…

• Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related field.
• More than 5 years of experience in Compliance and/or AML/CTF within a CMA-licensed entity, bank, or other regulated financial institution.
• Fluency in Arabic and English (written and spoken).
• Must be Saudi