Risk and Compliance Officer

Responsibilities: Regulatory Compliance & Liaison Act as the designated Compliance Officer in accordance with the requirements of the Capital Markets Authority (CMA) Regulations. Serve as the primary liaison with regulators including the Capital Markets Authority and the Office of the Data Protection Commissioner. Coordinate regulatory filings, statutory returns, disclosures, and incident reporting. Monitor and advise management on regulatory developments affecting fund management operations. Enterprise Risk Management (ERM) Develop, implement, and maintain the firm’s Enterprise Risk Management framework aligned with global best practices. Identify, assess, and monitor key risks across the organization. Maintain a comprehensive Risk Register and report key risk indicators (KRIs) to Senior Management Oversee Business Continuity Planning (BCP) and disaster recovery readiness Compliance Monitoring & Testing Develop and implement a Compliance Monitoring Plan approved by the Board. Conduct periodic compliance reviews across: Portfolio management activities Marketing materials Fund disclosures Investor onboarding processes Monitor and ensure compliance with all the policies of the company Report breaches and recommend corrective actions Develop and deliver periodic compliance related trainings Contractual & Legal Risk Management Review and manage key agreements including: Investment management agreements Custodian and Trustee agreements Vendor contracts Oversee litigation management, including coordination with external counsel, litigation processes and reporting. Governance & Board Reporting Support the Company Secretary with board administration and board  governance matters, including convening of meetings and other relevant matters. Qualifications Bachelor’s degree in Law (LL.B), Social Sciences, or Statistics. A Master’s degree or professional certifications in corporate/commercial law or data protection such as CIPP/E is an added advantage. Professional certifications in corporate governance, compliance or data protection (e.g. ICS, ICPAK) is highly desirable. Minimum of 2 years’ experience in risk and compliance in a corporate and commercial firm or capital markets environment.