Compliance Officer

You will support the Head of Compliance in operating the local compliance framework. You will monitor compliance activity, advise staff and senior management on regulatory matters, maintain policies and procedures, coordinate regulatory and AML reporting, and work with regulators and the MLRO on AML/CTF, KYC, and EDD processes.

Responsibilities

• Execute assigned elements of the local compliance strategy and framework
• Carry out compliance monitoring, surveillance, and subsequent reviews
• Advise staff and senior management on regulatory, policy, and procedural issues
• Handle assigned client inquiries, information requests, and complaints
• Identify, log, and escalate compliance issues, policy breaches, and regulatory breaches
• Review and update compliance policies and procedures in line with regulatory changes
• Prepare, coordinate, and file assigned regulatory and AML reports
• Prepare compliance management information for senior stakeholders
• Monitor and escalate relevant local and international regulatory developments
• Partner with the MLRO on AML/CTF policies and oversight of KYC and EDD review processes
• Maintain familiarity with AML processes and systems to provide coverage when required
• Maintain relationships with regulators and respond to information requests
• Deliver and coordinate compliance training
• Promote a culture of compliance across business processes

Requirements

• At least 5 years of relevant compliance experience in financial services
• Substantial experience with ADGM/FSRA-regulated firms or another UAE or local financial services regulator
• Experience in a deputy or second-in-command compliance role is preferred
• Direct experience working with the FSRA and/or other ADGM or local UAE regulators
• Ability to advise the Board, senior management, and Group colleagues on complex regulatory issues
• Experience managing multiple projects and competing priorities
• Ability to work to short timelines in a fast-paced environment
• Excellent communication and presentation skills
• Eligibility to hold or obtain approval for an FSRA Approved Person / Authorized Individual function where required
• Comfort using AI tools and understanding their opportunities and limitations