We are seeking an experienced Compliance Manager / MLRO to oversee the firm's regulatory compliance framework and ensure adherence to UAE regulatory requirements, including those issued by the Securities and Commodities Authority (SCA).
Key Responsibilities
- Develop, implement, and maintain the firm's compliance and governance framework in accordance with SCA regulations.
- Monitor regulatory developments and assess their impact on business operations, policies, and procedures.
- Serve as the primary point of contact for the SCA, managing regulatory reporting, inspections, inquiries, and submissions.
- Oversee AML/CFT/CPF compliance, including KYC, CDD, sanctions screening, customer onboarding reviews, and ongoing monitoring activities.
- Review and approve client onboarding documentation and account-related compliance matters.
- Investigate compliance breaches, regulatory concerns, and financial crime-related matters, ensuring timely remediation.
- File Suspicious Transaction Reports (STRs) and Suspicious Activity Reports (SARs) through goAML when required.
- Conduct compliance monitoring reviews and support internal and external audits.
- Develop and deliver compliance training and awareness programs across the organization.
- Maintain compliance policies, procedures, records, and regulatory documentation.
- Provide strategic leadership to the Compliance and AML function, including the MLRO and DMLRO framework, while driving continuous improvement and regulatory change initiatives.
Qualifications & Experience
- Bachelor's degree in Law, Finance, Business Administration, or a related discipline.
- Minimum 5 years of compliance experience within financial services, brokerage, capital markets, fintech, or regulated investment firms.
- Professional qualification such as CISI, ICA, ACAMS, or equivalent.
- Strong knowledge of SCA regulations, AML/CFT requirements, sanctions compliance, KYC/CDD frameworks, and financial crime prevention.
- Previous experience acting as Compliance Officer, MLRO, or Deputy MLRO is highly desirable.
- Experience with trading platforms, CFDs, securities, or capital markets products is an advantage.
- Excellent communication, analytical, and stakeholder management skills.
- Strong ethical standards, professional judgment, and attention to detail.
