Compliance Officer & MLRO
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Key skills for this role
Role Overview
A brokerage firm operating in Abu Dhabi Global Market is seeking a Compliance Officer and MLRO.
The role is responsible for regulatory compliance, AML controls, and compliance culture.
Key Skills for This Role
Full Job Posting
Role overview
A brokerage firm operating in Abu Dhabi Global Market is seeking a Compliance Officer and MLRO.
The role is responsible for regulatory compliance, AML controls, and compliance culture.
Key responsibilities
- Lead the compliance function and ensure compliance with applicable regulations.
- Develop KYC programs.
- Advise business units on regulatory obligations.
- Keep the board informed about relevant ADGM, FSRA, and other regulatory changes.
- Prepare the firm for FSRA assessments and on-site inspection visits.
- Perform internal investigations.
- Oversee anti-money laundering and terrorism financing systems and controls using a risk-based approach.
Qualifications and experience
- A bachelor's degree is required.
- At least five years of compliance and AML experience in a financial institution or banking organization is required.
- Excellent operational knowledge of compliance and MLRO functions is required.
- Excellent analytical skills and attention to detail are required.
- Independent decision-making ability in client onboarding and AML training implementation is required.
- Ability to influence top-management decision-making is required.
- Ability to communicate with internal teams, business units, and external parties is required.
- FSRA or DFSA approval or prior authorization in equivalent roles is advantageous.
Company context
The opportunity is with an expanding financial institution.
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