MLRO & Compliance Officer, UAE (ADGM) - Broker Dealer Entity

Currently looking to connect with experienced MLRO & Compliance professionals for a senior leadership opportunity within an ADGM-regulated Broker Dealer based in the UAE.

This is a dual-hatted role where you will serve as both the Money Laundering Reporting Officer (MLRO) and Compliance Officer
, taking ownership of the firm's regulatory compliance and financial crime framework while working closely with senior leadership and regulators.

• Lead and oversee the compliance function in accordance with ADGM FSRA regulations.
• Develop, implement, and maintain compliance policies, monitoring programs, and governance frameworks.
• Act as the primary liaison with the FSRA on regulatory and supervisory matters.
• Serve as the appointed MLRO, overseeing AML/CFT, sanctions compliance, suspicious activity reporting, and financial crime risk management.
• Manage Business Risk Assessments (BRA), Customer Risk Assessments (CRA), CDD/EDD frameworks, and ongoing monitoring programs.
• Provide strategic compliance advice on new products, business initiatives, and regulatory developments.
• Partner closely with Legal, Risk, Operations, and business stakeholders to ensure regulatory compliance across the organization.

• 10+ years of senior Compliance and/or Financial Crime experience within regulated financial services.
• Strong expertise in ADGM FSRA regulations
  , the ADGM AML Rulebook
  , and applicable sanctions frameworks.
• Previous experience within a Broker Dealer, Investment Firm, Trading Firm, Fin Tech, Payments, Digital Assets, or Crypto environment.
• Proven experience interacting with the FSRA or other financial regulators during inspections, licensing, or supervisory engagements.
• Prior experience as an MLRO, Compliance Officer, or other senior control function within a regulated entity.
• Experience supporting regulatory authorizations or licensed entity setup is highly desirable.
• Strong stakeholder management skills with the ability to balance strategic oversight and hands-on execution.
• Interest in leveraging AI and technology to enhance compliance, regulatory, and operational effectiveness is a strong advantage.
• FSRA Approved Person status (or eligibility to obtain approval) for the Compliance Officer and MLRO controlled functions is preferred.