Company Description
ZAD is the brainchild of a group of young, passionate Kuwaiti financial professionals driven by a vision of fostering a culture of investment in Kuwait. And for this team, ZAD began as a means to answer a need in the market: the need to make investment an accessible concept and viable choice for a broader audience
About the Role
We are seeking a highly experienced Compliance Officer to oversee and strengthen the firm's regulatory compliance framework for brokerage and wealth management activities conducted under the Abu Dhabi Global Market (ADGM) and regulated by the Financial Services Regulatory Authority (FSRA).
The successful candidate will be responsible for ensuring compliance with all applicable FSRA regulations, AML/CFT obligations, client asset rules, conduct of business requirements, and governance standards. The role will work closely with senior management and key business functions to maintain a strong compliance culture and effective regulatory controls across the organization.
Key Responsibilities
- Ensure ongoing compliance with ADGM FSRA regulations applicable to brokerage and wealth management activities.
- Develop, implement, and maintain compliance policies, procedures, and monitoring frameworks.
- Monitor client onboarding, suitability assessments, and investor classification processes.
- Oversee AML/CFT, sanctions screening, KYC, CDD, and transaction monitoring activities.
- Review marketing materials, disclosures, and client communications to ensure regulatory compliance.
- Act as the primary liaison with the FSRA on compliance-related matters.
- Conduct compliance monitoring reviews, risk assessments, and control testing.
- Prepare compliance reports and updates for senior management and the Board.
- Support internal audits, regulatory inspections, and remediation initiatives.
- Deliver compliance and AML training programs to employees.
Qualifications
- Bachelor's degree in Law, Finance, Business Administration, Risk Management, or a related field.
- Professional certifications such as CAMS, ICA, CISI, CFA, or ACCA are highly preferred.
Experience & Skills
- 5–7 years of compliance experience within brokerage, wealth management, banking, fintech, or other regulated financial institutions.
- Strong understanding of ADGM FSRA regulations, AML/CFT frameworks, and Conduct of Business requirements.
- Experience interacting directly with regulators is preferred.
- Strong analytical, communication, and stakeholder management skills.
- Ability to operate effectively in a regulated and fast-paced environment.
Preferred Experience
- Experience working within ADGM or DIFC regulated firms.
- Exposure to online brokerage platforms.
- Experience with robo-advisory and wealth management platforms.
- Knowledge of international securities and capital markets.
