ROLE PROFILE
Legal & Compliance Operations Manager
Abu Dhabi Global Market (ADGM)
LOCATION
Abu Dhabi Global Market (ADGM)
CONTRACT TYPE
Full-time, Permanent
SENIORITY
Associate / Mid-Level
REPORTS TO
Global Head of Compliance (UK)
SECTOR
Digital Asset Derivatives / Regulated Market Infrastructure
About Our Client
Our client is a regulated financial market infrastructure operator that has received In-Principle Approval from the Financial Services Regulatory Authority (FSRA) of Abu Dhabi Global Market (ADGM) to operate as a Recognised Investment Exchange (RIE) and Recognised Clearing House (RCH) for digital asset and related derivatives.
Building on its existing status as the first FCA-authorised, centrally cleared digital asset derivatives Multilateral Trading Facility (MTF) in the United Kingdom, our client is establishing a regulated presence across some of the world's most significant financial centres. This multi-jurisdictional infrastructure gives institutional participants genuine choice in where and how they access digital asset derivatives under trusted regulatory frameworks.
At the core of the business model is central clearing, which resolves the counterparty and credit risk constraints that continue to limit large-scale institutional participation in digital asset markets. By enabling digital assets to be used as margin within a centrally cleared format, and by supporting both cash-settled and physically delivered derivatives alongside other listed products, our client is building the next generation of market infrastructure — one designed to integrate digital assets into mainstream institutional finance.
Job Purpose
The Legal & Compliance Operations Manager will provide on-the-ground legal and compliance support to the ADGM entity, working as an integral part of the global compliance function. This is an operational, delivery-focused role reporting directly to the Global Head of Compliance based in the United Kingdom.
The postholder is not an authorised individual under the FSRA framework. Rather, they will support the ADGM entity across both legal and compliance functions — executing the compliance programmes, policies, and frameworks established by the Global Head of Compliance, while also handling day-to-day legal operational matters including contract review, commercial documentation, and coordination with external counsel.
This role suits a legally trained compliance professional, or a compliance professional with significant legal exposure, who is comfortable working independently within a defined framework, taking ownership of operational tasks across both disciplines, and escalating appropriately to senior leadership. It is a hands-on role requiring strong organisational capability, sound legal and regulatory judgement, and genuine familiarity with regulated financial markets and digital assets.
Duties and Responsibilities
Legal Operations & Contract Support
- Review, draft, and maintain a range of commercial and operational agreements including vendor contracts, technology agreements, supplier arrangements, and standard institutional documentation, escalating complex or material matters to senior leadership or external counsel as appropriate.
- Support the management of exchange rulebook and clearing house rulebook documentation, maintaining version control and flagging required updates.
- Assist in the preparation and review of member agreements, participant documentation, and client-facing legal materials.
- Coordinate and manage relationships with external legal counsel in ADGM and other relevant jurisdictions, ensuring instructions are clear, timely, and cost-effective.
- Maintain a contracts register and manage the lifecycle of commercial agreements including renewals, amendments, and terminations.
- Support corporate governance administration for the ADGM entity, including preparation of board resolutions, maintenance of constitutional documents, and tracking of regulatory authorisation conditions.
- Provide legal operational support on data protection, privacy, and cybersecurity obligations under applicable ADGM law, escalating material issues to senior leadership.
- Monitor legal and regulatory developments across ADGM and the broader GCC, summarising implications for the business and escalating material changes to the Global Head of Compliance.
- Assist in managing any disputes, claims, or regulatory investigations that may arise, coordinating with external counsel and senior leadership as required.
Day-to-Day Compliance Operations
- Execute and maintain compliance processes and controls across the ADGM entity in line with frameworks established by the Global Head of Compliance.
- Monitor ongoing regulatory requirements applicable to the RIE and RCH authorisations and support timely fulfilment of obligations.
- Maintain compliance registers, logs, and records including breach registers, conflicts registers, and regulatory correspondence.
- Support the preparation and submission of regulatory reports and periodic filings to the FSRA, under the direction of the Global Head of Compliance.
- Assist in coordinating regulatory examinations, inspections, and enquiries, acting as a local point of contact and liaison.
- Track and escalate regulatory deadlines, action items, and compliance deliverables to ensure nothing falls through the gaps.
AML/CFT & Financial Crime
- Carry out day-to-day AML/CFT operational tasks including KYC/KYB reviews, transaction monitoring alerts, and escalation of suspicious activity to the Global Head of Compliance.
- Support onboarding compliance and legal checks for institutional clients and members, ensuring documentation is complete and meets applicable standards.
- Maintain sanctions screening records and assist with periodic reviews of the client and counterparty population.
- Help to maintain AML/CFT policies and procedures, flagging required updates to senior compliance leadership.
Monitoring & Surveillance Support
- Support the operation of the compliance monitoring programme, including conducting scheduled reviews and testing of controls.
- Assist with market abuse surveillance activity, escalating alerts and findings in line with agreed procedures.
- Prepare summaries and reports on monitoring outcomes for review by the Global Head of Compliance.
Regulatory Horizon Scanning
- Monitor regulatory and legislative developments from the FSRA, ADGM, and relevant GCC authorities, summarising key updates for the Global Head of Compliance.
- Track developments in international digital asset regulation and flag material changes with potential impact on the ADGM entity.
- Monitor legal developments relevant to digital asset market infrastructure, including changes to applicable ADGM legislation, financial services regulations, and emerging frameworks for tokenised assets.
Institutional Client & Operational Support
- Provide legal and compliance support to the institutional client onboarding process, coordinating documentation, participant agreements, and due diligence requirements.
- Liaise with operations, technology, and business teams locally to ensure both legal and compliance requirements are understood and embedded in day-to-day processes.
- Support product and business teams with legal and compliance input as the product suite evolves, escalating material issues to senior leadership.
- Deliver compliance inductions and training support to local staff, drawing on materials and programmes developed by the global compliance team.
Coordination with the Global Compliance Function
- Maintain regular, structured communication with the Global Head of Compliance, providing updates on local legal and compliance activity, emerging issues, and operational matters.
- Ensure the ADGM entity's legal and compliance activity is aligned with group-wide policies, frameworks, and standards.
- Support the Global Head of Compliance in preparing materials for board, committee, and regulatory submissions relating to the ADGM entity.
Skills and Competencies
Legal & Technical Skills
- Legally trained professional — qualified lawyer or paralegal with financial services experience, or a senior compliance professional with substantial in-house legal exposure and a demonstrated track record of managing legal operational matters directly.
- Ability to draft and review standard commercial contracts, institutional agreements, and operational legal documentation to a good standard, with appropriate escalation for complex matters.
- Solid working knowledge of compliance operations within regulated financial services — exchanges, clearing houses, MTFs, or equivalent financial market infrastructure.
- Familiarity with digital asset and crypto markets, including awareness of the regulatory environment applicable to digital asset trading and clearing venues.
- Ability to maintain accurate legal and compliance records, prepare clear written summaries, and manage multiple operational tasks simultaneously.
- Competence in interpreting regulatory requirements and translating them into operational processes and controls.
Experience
- 5–10 years of combined legal and/or compliance experience within regulated financial services, with meaningful exposure to financial market infrastructure — exchanges, clearing houses, CCPs, or MTFs.
- Legal training or qualification, or a compliance career with significant and demonstrable legal operational exposure — including contract review, external counsel coordination, and legal documentation management.
- Demonstrated hands-on experience in AML/CFT operations, including KYC/KYB, transaction monitoring, and SAR processes.
- Experience supporting or executing compliance monitoring programmes and maintaining compliance records and registers.
Preferred
- Prior exposure to the ADGM or FSRA regulatory framework, or broader GCC legal and compliance experience.
- Experience at a digital asset exchange, crypto trading venue, or fintech operating within a regulated framework.
