Compliance Officer

Overview

Regulatory Compliance

• Own the firm's compliance framework and ensure ongoing adherence to FSRA rules, ADGM regulations, and applicable UAE law
• Maintain and update the Compliance Monitoring Programme and internal policies and procedures
• Prepare and submit regulatory reports to the FSRA and other authorities as required
• Manage all licensing obligations, approved person applications, and regulatory change notifications
• Advise the SEO and Board on emerging regulatory developments and their operational impact

AML / CTF (MLRO Function)

• Act as the firm's nominated MLRO under ADGM's AML/CFT framework
• Maintain and oversee the firm's AML policies, risk assessments, and transaction monitoring systems
• Receive, assess, and escalate internal suspicious activity reports
• File Suspicious Transaction Reports (STRs) with the relevant UAE Financial Intelligence Unit where required
• Conduct ongoing customer due diligence and enhanced due diligence reviews
• Deliver AML/CFT training to staff

Governance

• Report to the Board and relevant committees on compliance matters
• Track and resolve non-compliant findings with business function owners
• Coordinate with external and internal auditors on compliance reviews
• Maintain complete and audit-ready records of all compliance and AML activity

Experience

• Minimum 8 to 10 years in a compliance, AML, or regulatory role within financial services
• Prior experience as a Compliance Officer, Deputy CO, MLRO, or equivalent controlled function
• Hands-on experience building or running a compliance framework -- not just advisory support
• Experience in one or more of the following firm types: asset manager, fund administrator, investment advisor, broker-dealer, fintech, or crypto/virtual assets firm

Regulatory Background

Experience

Important

Qualifications

• ICA Diploma in Compliance, CAMS (Certified Anti-Money Laundering Specialist), or equivalent professional qualification preferred
• Degree in law, finance, business, or a related field
• FSRA Approved Person status (existing or willingness to apply)

Personal Attributes

• Comfortable operating as a senior individual with direct regulatory accountability
• Strong written and verbal communication -- able to present to boards and engage regulators directly
• Detail-oriented and structured, with the ability to manage multiple regulatory workstreams simultaneously
• UAE residency required (or willingness to relocate) -- the CO must be ordinarily resident in the UAE