Currently looking to connect with experienced MLRO & Compliance professionals for a senior leadership opportunity within an ADGM-regulated Broker Dealer based in the UAE.
This is a dual-hatted role where you will serve as both the Money Laundering Reporting Officer (MLRO) and Compliance Officer, taking ownership of the firm's regulatory compliance and financial crime framework while working closely with senior leadership and regulators.
Key Responsibilities
- Lead and oversee the compliance function in accordance with ADGM FSRA regulations.
- Develop, implement, and maintain compliance policies, monitoring programs, and governance frameworks.
- Act as the primary liaison with the FSRA on regulatory and supervisory matters.
- Serve as the appointed MLRO, overseeing AML/CFT, sanctions compliance, suspicious activity reporting, and financial crime risk management.
- Manage Business Risk Assessments (BRA), Customer Risk Assessments (CRA), CDD/EDD frameworks, and ongoing monitoring programs.
- Provide strategic compliance advice on new products, business initiatives, and regulatory developments.
- Partner closely with Legal, Risk, Operations, and business stakeholders to ensure regulatory compliance across the organization.
What We're Looking For
- 10+ years of senior Compliance and/or Financial Crime experience within regulated financial services.
- Strong expertise in ADGM FSRA regulations, the ADGM AML Rulebook, and applicable sanctions frameworks.
- Previous experience within a Broker Dealer, Investment Firm, Trading Firm, FinTech, Payments, Digital Assets, or Crypto environment.
- Proven experience interacting with the FSRA or other financial regulators during inspections, licensing, or supervisory engagements.
- Prior experience as an MLRO, Compliance Officer, or other senior control function within a regulated entity.
- Experience supporting regulatory authorizations or licensed entity setup is highly desirable.
- Strong stakeholder management skills with the ability to balance strategic oversight and hands-on execution.
- Interest in leveraging AI and technology to enhance compliance, regulatory, and operational effectiveness is a strong advantage.
- FSRA Approved Person status (or eligibility to obtain approval) for the Compliance Officer and MLRO controlled functions is preferred.
