Compliance Manager & MLRO

Compliance Manager

Location: DIFC, Dubai

Overview

We are seeking an experienced Compliance Manager to join a DFSA-regulated firm. The role will be responsible for maintaining a robust compliance framework, ensuring adherence to DFSA rules, and supporting the business in delivering institutional-grade wealth and investment solutions to professional clients.

This is a hands-on position suited to a commercially aware compliance professional comfortable operating in a lean, high-calibre environment.

Key Responsibilities

Regulatory & DFSA Compliance

•Act as primary liaison with the DFSA.

•Manage regulatory reporting, notifications, and annual returns.

•Maintain and execute the Compliance Monitoring Programme (CMP).

•Ensure ongoing adherence to DFSA Rulebook (COB, AML, GEN, PRU where applicable).

•Support regulatory inspections and audits.

AML & Financial Crime

•Oversee client onboarding (CDD/EDD) including complex structures and offshore vehicles.

•Conduct sanctions and PEP reviews.

•KYC.

•Prepare MLRO reports and suspicious activity reporting where required.

Investment & Advisory Oversight

•Review client classification and suitability assessments.

•Oversee conflicts of interest framework.

•Monitor marketing approvals and financial promotions.

•Ensure compliance across discretionary/advisory mandates and alternative investments.

Governance & Advisory

•Draft and update policies and procedures.

•Maintain risk registers and compliance logs.

•Prepare board and management reporting.

•Deliver compliance training to staff.

•Act as trusted adviser to senior stakeholders on regulatory matters.

Candidate Profile

•5+ years compliance experience within regulated firms.

•Current or prior experience holding Authorised Individual status with DFSA.

•Strong knowledge of DFSA Rulebook and AML framework.

•Strong understanding of FATCA/CRS

•Experience handling professional client base and complex cross-border structures.

•CAMS or equivalent qualification advantageous.

•Commercially minded, pragmatic, and comfortable in a standalone or small team environment.