Compliance Officer
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Key skills for this role
About the Role
Edison Smart is supporting a regulated financial services organization in Abu Dhabi to find an experienced MLRO & Compliance Officer. The role involves overseeing compliance and financial crime functions for ADGM-regulated market infrastructure entities.
Key Skills for This Role
Responsibilities
- 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
- Serve as the designated Money Laundering Reporting Officer (MLRO) overseeing AML/CFT and sanctions frameworks
- Maintain and enhance financial crime risk management frameworks including Business Risk Assessments, Customer/Participant Risk Assessments, KYC/CDD/EDD, 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
Requirements
- 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 Recognised Investment Exchange, Clearing House, Digital Asset Exchange, Trading Venue, Market Infrastructure Provider, or 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
Full Job Posting
Role Overview
- We are supporting a leading regulated financial services organisation in the search for an experienced MLRO & Compliance Officer.
- This is a senior regulatory leadership opportunity covering both a Recognised Investment Exchange (RIE) and Recognised Clearing House (RCH).
- Requires strong expertise across compliance governance, financial crime prevention, market integrity, and regulatory engagement.
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 Business Risk Assessments, Customer/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
- 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: 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 / Digital Asset Exchanges
- Traditional Exchanges
- Clearing Houses
- Investment Banks
- Broker Dealers
- Regulators
- Financial Market Infrastructure organisations
Additional Information
- The successful candidate will be required to obtain or hold the relevant FSRA approval for the MLRO and Compliance Officer controlled functions.
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