Compliance Officer - Part Time
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Key skills for this role
About the Role
Compliance Location: Remote Reports: CEO / Senior Executive Officer / Board.The successful candidate will report directly to the Head Office in Kuwait and work closely with the.
Key Skills for This Role
Responsibilities
- Ensure ongoing compliance with ADGM FSRA rules applicable to brokerage and wealth management activities
- Develop and maintain compliance policies, procedures, and monitoring frameworks
- Monitor client onboarding, suitability assessments, and investor classification processes
- Oversee AML/CFT, sanctions screening, KYC, CDD, and transaction monitoring processes
- Review marketing materials, disclosures, and client communications for regulatory compliance
- Act as the primary liaison with the FSRA regarding compliance matters
- Conduct compliance monitoring reviews and risk assessments
- Prepare compliance reports for senior management and the Board
- Support audits, regulatory inspections, and remediation plans
- Provide compliance and AML training to employees
Requirements
- Experience in compliance for brokerage and wealth management
- Knowledge of ADGM FSRA regulations
- Experience with AML/CFT, sanctions screening, KYC, CDD
Full Job Posting
Role Summary
- The Compliance Officer will oversee the firm's regulatory compliance framework for brokerage and wealth management activities conducted under the Abu Dhabi Global Market (ADGM) and regulated by the Financial Services Regulatory Authority (FSRA).
- The role is responsible for ensuring compliance with all applicable FSRA regulations, AML/CFT obligations, client asset rules, conduct of business requirements, and governance standards.
- The Compliance Officer will work closely with senior management, operations, risk, legal, and front office teams to maintain a robust compliance culture and effective regulatory controls across the organization.
Key Responsibilities
- Ensure ongoing compliance with ADGM FSRA rules applicable to brokerage and wealth management activities.
- Develop and maintain compliance policies, procedures, and monitoring frameworks.
- Monitor client onboarding, suitability assessments, and investor classification processes.
- Oversee AML/CFT, sanctions screening, KYC, CDD, and transaction monitoring processes.
- Review marketing materials, disclosures, and client communications for regulatory compliance.
- Act as the primary liaison with the FSRA regarding compliance matters.
- Conduct compliance monitoring reviews and risk assessments.
- Prepare compliance reports for senior management and the Board.
- Support audits, regulatory inspections, and remediation plans.
- Provide compliance and AML training to employees.
Employment Type
- The position is part time, with working hours from 10:00 AM to 2:00 PM, Monday through Friday.
Location
- Remote
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