Compliance Officer

We are seeking an experienced Compliance Officer / MLRO to join an ADGM-regulated broker-dealer investment firm. The role will be responsible for overseeing the company’s regulatory compliance and AML/CFT framework, providing practical regulatory guidance to the business, and managing the relationship with the FSRA.

Responsibilities

• Lead and oversee the company’s Compliance and AML/CFT functions in accordance with ADGM and FSRA regulatory requirements.
• Act as the company’s Compliance Officer and MLRO, subject to FSRA approval.
• Maintain and regularly review compliance and AML policies, procedures, risk assessments, and internal controls.
• Develop and execute the annual Compliance Monitoring Programme and ensure timely remediation of identified issues.
• Oversee client onboarding and financial crime controls, including CDD/EDD, sanctions, PEP screening, transaction monitoring, and suspicious activity reporting.
• Provide practical regulatory advice and guidance to management and business functions on existing and proposed activities.
• Ensure compliance with applicable Conduct of Business requirements, including client classification, appropriateness and suitability, financial promotions, conflicts of interest, and client communications.
• Manage regulatory reporting, notifications, submissions, and ongoing correspondence with the FSRA.
• Coordinate regulatory inspections, reviews, and information requests, and oversee remediation of regulatory findings.
• Monitor regulatory developments and ensure relevant changes are implemented across the business.
• Prepare regular Compliance and MLRO reports for senior management and the Board.
• Deliver compliance and AML training and support a strong compliance culture across the organisation.

Requirements

• At least 3 years of direct compliance experience within an ADGM/FSRA or DIFC/DFSA-regulated financial services firm.
• Direct compliance experience within a broker-dealer, investment firm, CFD/FX broker, securities, or derivatives business – mandatory.
• Previous approval by the FSRA or DFSA as a Compliance Officer and/or MLRO – mandatory.
• Strong practical knowledge of the FSRA and/or DFSA regulatory framework, including Compliance, Conduct of Business, and AML/CFT requirements.
• Hands-on experience working directly with the FSRA and/or DFSA, including regulatory submissions, enquiries, reviews, or inspections.
• Strong knowledge of AML/CFT, sanctions, CDD/EDD, transaction monitoring, and financial crime controls.
• Relevant university degree.
• Professional compliance/AML qualification such as ICA or ACAMS – required.
• Ability to meet the FSRA’s fit-and-proper requirements for the CO/MLRO functions.
• Strong analytical and critical-thinking skills with a practical, solution-oriented approach.
• Commercial awareness and the ability to balance regulatory requirements with business needs.
• High level of independence, integrity, and sound professional judgement.
• Excellent communication, drafting, and stakeholder-management skills.
• Ability to work independently, take ownership, and manage multiple regulatory priorities.

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