Compliance Officer
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Key skills for this role
About the Role
A confidential firm in Abu Dhabi seeks a Compliance Officer and MLRO under ADGM/FSRA rules. The role owns the compliance framework, manages AML/CTF functions, and reports to the SEO and Board.
Key Skills for This Role
Responsibilities
- 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
- Manage all licensing obligations, approved person applications, and regulatory change notifications
- Advise the SEO and Board on emerging regulatory developments
- 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
- Conduct ongoing customer due diligence and enhanced due diligence reviews
- Deliver AML/CFT training to staff
- Report to the Board and relevant committees on compliance matters
Requirements
- 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
- Experience in asset manager, fund administrator, investment advisor, broker dealer, fintech, or crypto/virtual assets firm
- Experience in a jurisdiction reasonably equivalent to ADGM (e.g., UK FCA, Cyprus CySEC, Ireland CBI, Luxembourg CSSF, Malta MFSA, Cayman CIMA, BVI FSC, Guernsey/Jersey, Singapore MAS, Hong Kong SFC/HKMA, Dubai DFSA, Bahrain CBB)
- ICA Diploma in Compliance, CAMS, or equivalent professional qualification preferred
- Degree in law, finance, business, or related field
- FSRA Approved Person status (existing or willingness to apply)
- UAE residency required (or willingness to relocate)
Full Job Posting
Role Overview
- Mandatory regulatory appointment under ADGM/FSRA rules.
- Compliance Officer and MLRO functions combined, requiring FSRA Approved Person status.
- Reports directly to the Senior Executive Officer and Board.
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.
- 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.
- 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.
- Experience in asset manager, fund administrator, investment advisor, broker dealer, fintech, or crypto/virtual assets firm.
Regulatory Background
- Experience in a jurisdiction reasonably equivalent to ADGM (e.g., UK FCA, Cyprus CySEC, Ireland CBI, Luxembourg CSSF, Malta MFSA, Cayman CIMA, BVI FSC, Guernsey/Jersey, Singapore MAS, Hong Kong SFC/HKMA, Dubai DFSA, Bahrain CBB).
- Experience under FCA, CySEC, or DFSA regulation is particularly common and viewed favourably.
Qualifications
- ICA Diploma in Compliance, CAMS, 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.
- Detail oriented and structured.
- UAE residency required (or willingness to relocate).
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