Regulatory Compliance Officer
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Key skills for this role
About the Role
A digital bank regulated by ADGM seeks a Regulatory Compliance Officer to support compliance monitoring, regulatory reporting, and policy development. The role requires 3-5 years of compliance experience in ADGM, DIFC, or similar regulated environments.
Key Skills for This Role
Responsibilities
- Support the implementation of the Bank’s Compliance Monitoring and Assurance Programme
- Conduct scheduled compliance monitoring reviews in line with the annual compliance plan
- Test the effectiveness of key regulatory controls across customer onboarding, disclosures, complaints, conduct risk, financial promotions, outsourcing, record keeping and governance processes
- Document findings clearly, agree remedial actions with control owners and track actions to closure
- Maintain the regulatory reporting calendar and support timely preparation, review and submission of regulatory returns
- Maintain accurate and up to date compliance registers including Gifts and Entertainment, Personal Account Dealing, Conflicts of Interest, Complaints, Breaches and Incidents, Regulatory Correspondence, and Training and Attestation
- Prepare the monthly Compliance Management Information Pack and assist with preparation of the Quarterly Compliance Report
- Conduct first level Compliance review of marketing communications, website content, customer communications and campaign materials
Requirements
- 3–5 years’ experience in regulatory compliance, AML or financial crime compliance
- Experience within ADGM, DIFC or another well regulated financial services jurisdiction
- Bachelor’s degree in law, finance, business, economics or a related discipline
- Compliance certification preferred, such as ICA, CISI, ACAMS or equivalent
- Strong written English and ability to draft clear compliance reports
Full Job Posting
Role Purpose
- The Regulatory Compliance Officer will support the implementation and ongoing operation of the Bank’s regulatory compliance framework, with particular focus on compliance monitoring, regulatory reporting/returns support, compliance registers, developing compliance management information, first line
- The role holder will also support the Compliance Department in identifying practical opportunities to improve processes through technology, automation and responsible use of AI tools.
- The role is suited to a compliance professional with 3–5 years’ experience across regulatory compliance and AML within ADGM, DIFC or a comparable regulated financial services environment.
Duties & Responsibilities
- Support the implementation of the Bank’s Compliance Monitoring and Assurance Programme.
- Conduct scheduled compliance monitoring reviews in line with the annual compliance plan.
- Test the effectiveness of key regulatory controls across customer onboarding, disclosures, complaints, conduct risk, financial promotions, outsourcing, record keeping and governance processes.
- Document findings clearly, agree remedial actions with control owners and track actions to closure.
- Escalate material control weaknesses or overdue actions to the Head of Regulatory Compliance.
- Maintain the regulatory reporting calendar.
- Support the timely preparation, review and submission of regulatory returns and notifications to the FSRA and other relevant authorities.
- Coordinate internally with Finance, Risk, Operations, AML and Senior Management to obtain required data.
- Maintain evidence of submissions, approvals and supporting documentation.
- Maintain accurate and up to date compliance registers.
- Prepare periodic register summaries for Compliance MI.
- Prepare the monthly Compliance Management Information Pack.
Ideal Candidate Profile
- 3–5 years’ experience in regulatory compliance, AML or financial crime compliance.
- Experience within ADGM, DIFC or another well regulated financial services jurisdiction.
- Exposure to banking, digital banking, fintech, payments, wealth management or investment services would be advantageous.
- Practical experience with compliance monitoring, regulatory reporting, compliance registers, policy/procedure drafting and management information.
- Good understanding of AML, CDD, sanctions, complaints handling, conduct risk and financial promotions controls.
- Familiarity with using AI, automation tools, workflow systems, dashboards or productivity technology to improve compliance processes would be advantageous.
- Bachelor’s degree in law, finance, business, economics or a related discipline.
- Compliance certification preferred, such as ICA, CISI, ACAMS or equivalent.
- Willingness to undertake further professional compliance, AML or technology related training.
- Strong written English and ability to draft clear compliance reports.
- Good analytical skills and ability to identify control weaknesses.
- High attention to detail and strong record keeping discipline.
Preferred Skillset
- The preferred candidate should be a developing regulatory compliance professional with solid AML awareness, strong documentation skills and practical experience in a regulated financial services environment.
- The ideal profile is someone who has worked in ADGM or DIFC compliance, understands how regulated firms evidence compliance, and is comfortable handling operational compliance tasks while developing into a broader regulatory compliance specialist.
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