IQ-EQ
Financial Services
Director,Compliance
Neural analysis suggests this role is
optimal for mid candidates.
“Director, Compliance at IQ-EQ. Skills: Regulatory compliance, Risk management, Legal analysis. Supervise Client Compliance Unit team. Monitor daily tasks”
Industry & Context.
Advisory; Troubleshooting
What They're Looking For.
Must Have
8-10 years experience financial services, 5 years regulatory compliance experience, DFSA approved Compliance Officer, FSRA approved Compliance Officer, DFSA approved MLRO, FSRA approved MLRO
Nice to Have
2-3 years consulting firm experience, Degree in law, Degree in finance, Degree in financial services
What You'll Do.
Supervise Client Compliance Unit team
Assist in structuring regulated companies
Assist in authorisation applications
Provide compliance support
Provide officers for roles
Provide ad-hoc advisory
Support regulatory risk assessment
Support during regulatory audit
Support license variation
Support clients in data protection
How You'll Work.
Team & Collaboration
Client companies; Regulatory bodies
Communication Scope
Client advisory
Process & Methodology
End-to-end process management
Full Job Description
We’re a leading Investor Services group offering end-to-end services in administration, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce of 6,500+ people across 24 jurisdictions and have assets under administration (AUA) exceeding US$857 billion. We work with 13 of the world’s top-15 private equity firms. Our services are underpinned by a Group-wide commitment to ESG and best-in-class technology including a global data platform and innovative proprietary tools supported by in-house experts. Above all, what makes us different is our people. Operating as trusted partners to our clients, we deliver intelligent solutions through a combination of technical expertise and strong relationships based on deep client understanding. We’re driven by our Group purpose, to power people and possibilities. The Client Compliance Services department assists client companies of IQ EQ (DIFC) Global Services Limited in DIFC and IQ EQ Middle East Services Limited in ADGM (IQ-EQ UAE) in the following matters: * Structuring of regulated financial services companies (selection of appropriate license activities considering client’s desired business model as well as available human and financial resources); * Assistance in authorisation applications in DIFC and ADGM financial free zones, as well as with other regulators (UAE CB, CMA etc.) leading the process end-to-end (except for the legal part such as drafting legal agreements or in case of a fund manager, fund’s documentation); * Compliance support of licensed firms in ADGM and DIFC, including provision of officers or deputies for the roles of: * Compliance Officer * Money Laundering Reporting Officer * Risk Officer * Data Protection Officer * Ad-hoc advisory and assistance to regulated firms such as compliance health check, support during a regulatory risk assessment/audit, license variation etc. * Clients support in data protection matters (policy, procedures, training
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