Compliance Manager & MLRO
About This Role
Overview
We are seeking an experienced Compliance Manager to join a DFSA-regulated firm.
The role will be responsible for maintaining a robust compliance framework, ensuring adherence to DFSA rules, and supporting the business in delivering institutional-grade wealth and investment solutions to professional clients.
This is a hands-on position suited to a commercially aware compliance professional comfortable operating in a lean, high-calibre environment.
Regulatory & DFSA Compliance
- Act as primary liaison with the DFSA.
- Manage regulatory reporting, notifications, and annual returns.
- Maintain and execute the Compliance Monitoring Programme (CMP).
- Ensure ongoing adherence to DFSA Rulebook (COB, AML, GEN, PRU where applicable).
- Support regulatory inspections and audits.
AML & Financial Crime
- Oversee client onboarding (CDD/EDD) including complex structures and offshore vehicles.
- Conduct sanctions and PEP reviews.
- KYC.
- Prepare MLRO reports and suspicious activity reporting where required.
Investment & Advisory Oversight
- Review client classification and suitability assessments.
- Oversee conflicts of interest framework.
- Monitor marketing approvals and financial promotions.
- Ensure compliance across discretionary/advisory mandates and alternative investments.
Governance & Advisory
- Draft and update policies and procedures.
- Maintain risk registers and compliance logs.
- Prepare board and management reporting.
- Deliver compliance training to staff.
- Act as trusted adviser to senior stakeholders on regulatory matters.
Candidate Profile
- 5+ years’ compliance experience within regulated firms.
- Current or prior experience holding Authorised Individual status with DFSA.
- Strong knowledge of DFSA Rulebook and AML framework.
- Strong understanding of FATCA/CRS
- Experience handling professional client base and complex cross-border structures.
- CAMS or equivalent qualification advantageous.
- Commercially minded, pragmatic, and comfortable in a standalone or small team environment.
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