Compliance Officer & MLRO

Our client is an ADGM-regulated financial services firm operating within the broker-dealer and investment sector. The firm is committed to maintaining high standards of regulatory compliance, governance and financial-crime risk management while supporting the continued development of its business in the UAE.

As part of its continued growth, the firm is seeking an experienced Compliance Officer / Money Laundering Reporting Officer (CO/MLRO) to join its team in Abu Dhabi.

The Compliance Officer / MLRO will be responsible for leading and overseeing the firm's regulatory compliance and AML/CFT framework in accordance with applicable ADGM and FSRA requirements. Acting as the firm's designated Compliance Officer and MLRO, subject to FSRA approval
, the successful candidate will work closely with senior management and business functions to ensure regulatory obligations are effectively embedded across the organisation. This is a senior, hands-on position requiring strong technical regulatory knowledge, sound judgement and commercial awareness. The successful candidate will be expected to provide practical, solution-oriented regulatory guidance while maintaining appropriate independence and effective engagement with the FSRA.

• Lead and oversee the firm's Compliance and AML/CFT functions in accordance with applicable ADGM and FSRA rules and regulatory requirements
• Act as the firm's designated Compliance Officer and MLRO, subject to FSRA approval and applicable fit-and-proper requirements
• Maintain, review and enhance compliance and AML policies, procedures, risk assessments, frameworks and internal controls
• Develop, implement and execute the annual Compliance Monitoring Programme, ensuring identified issues are appropriately documented, escalated and remediated
• Oversee the client onboarding framework, including KYC, CDD/EDD, sanctions screening, PEP identification and ongoing monitoring
• Oversee transaction-monitoring processes and the identification, investigation and reporting of suspicious activity in accordance with applicable requirements
• Provide practical regulatory advice to senior management and business functions regarding existing activities, new products, business initiatives and regulatory developments
• Oversee 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 correspondence with the FSRA
• Act as a key point of contact for the FSRA and maintain an effective and professional relationship with the regulator
• Coordinate and manage regulatory inspections, thematic reviews, information requests and other regulatory engagements
• Oversee the remediation of regulatory findings and ensure agreed actions are completed within appropriate timelines
• Monitor changes to the ADGM/FSRA regulatory framework and assess their impact on the firm's activities, policies and controls
• Prepare regular Compliance and MLRO reports for senior management, relevant committees and the Board
• Deliver compliance and AML/CFT training and support the development of a strong compliance culture across the organisation
• Provide independent challenge to the business and elevate material regulatory or financial-crime risks where appropriate

• Minimum 3-5 years of directly relevant compliance experience within an ADGM/FSRA or DIFC/DFSA-regulated financial services firm
• Strong preference for experience within a broker-dealer, investment firm, CFD/FX broker, securities, derivatives or comparable regulated investment business
• Strong practical knowledge of the FSRA and/or DFSA regulatory framework, including…