Compliance Officer & MLRO

An excellent opportunity is available with a brokerage firm operating in Abu Dhabi Global Market (ADGM) for a Compliance Officer & MLRO to ensure the firm operates within the applicable regulations and meets the regulatory standards.

The person should ideally be approved by the FSRA or DFSA to carry out duties as a Compliance Officer and MLRO.

• Lead the compliance function in ensuring that the firm is compliant with applicable regulations in carrying out its activities and compliance culture.
• Develop KYC programs
• Advise the business units on regulatory obligations and keep the board abreast of the changes in ADGM, FSRA and other relevant regulations and the implications to the business.
• Prepare the firm for FSRA assessment and on-site inspection visits and perform internal investigation.
• Oversee the firm's systems and controls against money laundering and terrorism financing using a risk-based approach.

The Compliance Officer & MLRO will hold a bachelor's degree and a minimum of five years of experience in compliance and AML within a financial institution and/or banking organization. You will ideally hold or have previously help authorised roles with FSRA or DFSA or equivalent or be ready to step in to such level of responsibility. You will have excellent operational knowledge of compliance and MLRO functions, excellent analytical skills and an eye for detail.

You will have independent decision-making ability in onboarding clients and implementation of compliance AML training programs and the ability to influence decision-making at the top management level. You will have ability to communicate within the team, business units and external parties.