Deputy Compliance Officer - ADGM
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Key skills for this role
About the Role
Establish, maintain, and monitor a compliance framework to ensure that the firm meets all applicable ADGM and FSRA regulations, including those under MIR, GEN, COBS, PRU, and th.
Key Skills for This Role
Responsibilities
- Establish, maintain, and monitor a compliance framework to ensure the firm meets all applicable ADGM and FSRA regulations
- Review and advise on policies, procedures, controls, and governance arrangements to ensure regulatory alignment
- Act as the principal point of contact with the FSRA for all compliance related matters
- Lead the firm's response to regulatory audits, RFIs, and inspections
- Prepare and submit all necessary regulatory returns, notifications, and periodic reports
Requirements
- Must be approved by the FSRA as a Controlled Function under GEN 5.4.1
- Must be independent of business lines and have sufficient authority
- Must meet fit and proper requirements under GEN 5.5.1
- Experience with ADGM and FSRA regulations including MIR, GEN, COBS, PRU, and AML Rulebook
Full Job Posting
Key Responsibilities
- Establish, maintain, and monitor a compliance framework to ensure that the firm meets all applicable ADGM and FSRA regulations, including those under MIR, GEN, COBS, PRU, and the AML Rulebook.
- Review and advise on policies, procedures, controls, and governance arrangements to ensure regulatory alignment and support a culture of compliance across the firm.
- Act as the principal point of contact with the FSRA for all compliance related matters and lead the firm's response to regulatory audits, RFIs, and inspections.
- Prepare and submit all necessary regulatory returns, notifications, and periodic reports as required under the rules and/or by the regulator.
Regulatory Notes
- This is a Controlled Function that must be approved by the FSRA under GEN 5.4.1.
- The Deputy CO must be independent of business lines, have sufficient authority, resources, and direct access to senior management and the board.
- The individual must meet the fit and proper requirements under GEN 5.5.1 and has personal liability for regulatory breaches in their areas of responsibility.
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