Compliance Officer

Mlro & Compliance Officer

Compliance Leadership

• Lead the design, implementation, and oversight of the compliance framework across regulated market infrastructure entities.
• Ensure ongoing compliance with applicable FSRA Rules, FSMR, MIR, AML requirements, and regulatory obligations.
• Develop and maintain compliance policies, procedures, monitoring frameworks, and governance processes.
• Provide independent compliance guidance to senior management and Board-level stakeholders.
• Oversee compliance monitoring, testing, regulatory reviews, and remediation activities.
• Support regulatory engagement, examinations, and ongoing supervisory discussions with the FSRA.
• Advise on new products, trading models, operational processes, and market structure initiatives.
• Partner with business, technology, risk, and legal teams to embed regulatory requirements into operating models.

Mlro Responsibilities

• Serve as the designated Money Laundering Reporting Officer (MLRO) overseeing AML/CFT and sanctions frameworks.
• Maintain and enhance financial crime risk management frameworks, including:

• Customer And Participant Risk Assessments

• KYC / CDD / EDD frameworks
• Transaction monitoring
• Sanctions screening
• Review and manage suspicious activity reporting obligations and regulatory submissions.
• Deliver AML/CFT training and awareness programmes.
• Provide financial crime reporting and regulatory updates to senior management and the Board.
• Act as a key contact point for regulators and relevant authorities on financial crime matters.

Candidate Profile

• The ideal candidate will have:
• 10+ years of senior compliance and/or financial crime experience within regulated financial services environments.
• Strong understanding of:
• ADGM / FSRA regulations
• FSMR
• MIR requirements
• AML/CFT and sanctions frameworks
• Experience within one or more of the following:

• Recognised Investment Exchange

• Clearing House

• Digital Asset Exchange

• Trading Venue

• Market Infrastructure Provider

• Investment Firm
• Strong knowledge of:
• Market surveillance
• Exchange governance
• Participant oversight
• Trading conduct requirements
• Clearing and settlement frameworks
• Proven experience engaging with regulators and supporting regulated entity authorisations or licensing processes.
• Ability to operate strategically while remaining hands-on in building and enhancing compliance frameworks.
• Experience using technology, automation, analytics, or AI solutions to improve compliance effectiveness is highly desirable.

Ideal Background

• Crypto And Digital Asset Exchanges

• Traditional Exchanges
• Clearing Houses
• Investment Banks
• Broker Dealers
• Regulators
• Financial Market Infrastructure organisations
• The successful candidate will be required to obtain or hold the relevant FSRA approval for the MLRO and Compliance Officer controlled functions.