Location: Dubai, UAE
Industry: Asset Management / Fund Management / Investment Management
Employment Type: Full-time
Seniority: Officer / Manager level, depending on experience
About the Role
Our client, a Dubai-based Asset Management firm, is looking to appoint a Legal & Compliance Officer to support the organisation across legal, regulatory and compliance matters.
The role is particularly suited to a qualified lawyer with experience within asset management, fund management, investment management or financial services. The successful candidate will have a strong legal foundation and practical exposure to regulatory and compliance requirements relevant to investment firms and managed funds.
The individual will work closely with senior management, investment professionals and external legal/regulatory advisers to ensure the business operates within applicable legal, regulatory and governance frameworks.
Key Responsibilities
- Provide legal and regulatory advice to the business on matters relating to asset management, investment management and fund structures.
- Review, draft and negotiate a range of legal and commercial agreements, including investment management agreements, fund documentation, service agreements, NDAs and corporate documentation.
- Support the establishment, structuring and ongoing management of investment funds and investment vehicles.
- Advise on regulatory requirements applicable to the firm’s investment management and fund management activities.
- Monitor changes in applicable laws, regulations and regulatory guidance and assess their impact on the business.
- Maintain and enhance the firm’s compliance framework, policies and procedures.
- Support compliance monitoring, regulatory reporting and internal compliance reviews.
- Assist with regulatory and licensing matters and maintain effective relationships with relevant regulators and external advisers.
- Review investment and commercial arrangements from a legal and regulatory perspective.
- Support the business on corporate governance, board matters and shareholder-related documentation.
- Identify and assess legal, regulatory and compliance risks and provide practical recommendations to senior management.
- Assist with AML/KYC, conflicts of interest, market conduct, data protection and other applicable compliance requirements.
- Coordinate with external counsel on specialist legal matters where required.
- Maintain appropriate legal and compliance records, registers and documentation.
- Provide guidance to internal stakeholders on legal and compliance matters arising from day-to-day business activities.
- Contribute to the development of a strong culture of regulatory compliance and good corporate governance.
Candidate Profile
The ideal candidate will be a qualified lawyer with a strong legal background and relevant experience in asset management, fund management, investment management or financial services.
Requirements:
- Qualified lawyer with a recognised legal qualification from the UK or USA.
- Strong experience within asset management, fund management, investment management, private equity, hedge funds or a closely related financial services environment.
- Strong understanding of investment funds, fund structures, investment management activities and related legal documentation.
- Experience reviewing and negotiating commercial and investment-related agreements.
- Good understanding of regulatory and compliance frameworks applicable to investment businesses.
- Experience working with senior management, investment teams and external legal advisers.
- Strong legal drafting, analytical and contract negotiation skills.
- Ability to translate complex legal and regulatory requirements into practical business advice.
- Excellent written and verbal communication skills.
- Strong attention to detail and ability to manage multiple matters simultaneously.
- Ability to operate independently while working closely with senior stakeholders.
Preferred Experience
Experience with one or more of the following would be advantageous:
- DIFC / DFSA regulatory environment
- UAE financial services regulations
- Investment funds and fund administration
- Private equity or hedge fund structures
- Investment management agreements
- Shareholder and corporate governance matters
- AML/KYC and financial crime compliance
- Regulatory licensing and applications
- Cross-border investment structures and transactions
What We Are Looking For
This is a legal-led position, and the client is particularly interested in candidates who have developed their career primarily through a legal background before moving into, or gaining substantial exposure to, compliance and regulatory responsibilities.
Candidates whose experience is exclusively in general corporate compliance, AML/KYC or traditional compliance monitoring without meaningful asset management or fund management exposure are unlikely to be suitable.
Confidentiality
This is a confidential search being conducted on behalf of our client. Further information regarding the organisation and the opportunity will be shared with shortlisted candidates.