Requirements
Requires at least 3 years of direct compliance experience within an ADGM/FSRA or DIFC/DFSA-regulated financial services firm, specifically within a broker-dealer, investment firm, CFD/FX broker, securities, or derivatives business. Previous approval by the FSRA or DFSA as a Compliance Officer and/or MLRO is mandatory. Strong practical knowledge of the FSRA and/or DFSA regulatory framework, including Compliance, Conduct of Business, and AML/CFT requirements, along with hands-on experience working directly with these regulators, is essential. A relevant university degree and a professional compliance/AML qualification (ICA or ACAMS) are required.
Description
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.ResponsibilitiesLead 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.RequirementsAt 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.