Compliance Officer and MLRO

An excellent opportunity is available with an asset management firm established in Abu Dhabi Global Market (ADGM) for a Compliance Officer and authorised by the Financial Services Regulatory Authority (FSRA) under a Category 3C Licence.

The Compliance Officer will be responsible for maintaining and enhancing the firm's compliance framework to ensure full adherence to the FSRA regulatory regime, including the Conduct of Business (COBS), Anti-Money Laundering and Sanctions (AML) and Collective Investment Rules (CIR) modules.

Reporting to the Director of Compliance this is a Controlled Function that includes the responsibilities of Money Laundering Reporting Officer (MLRO). It forms part of the second line of defence, ensuring regulatory integrity, protecting client interests and safeguarding the firm's license status.

Key Responsibilities:

• Develop, implement, and maintain compliance policies and procedures in line with FSRA Rulebooks.
• Monitor ongoing compliance with FSRA obligations related to fund management and cross-border marketing.
• Act as main liaison with the FSRA for inspections, audits, thematic reviews and license renewals.
• Serve as the MLRO with direct accountability for the AML framework under FSRA AML Rulebook.
• Design and deliver compliance and AML training tailored to employees' roles and regulatory risk exposure.
• Provide regulatory guidance to portfolio managers, operational staff, and service providers (e.g. fund administrators).
• Review and advise on fund structures, delegation arrangements (e.g. SAI), and oversight of outsourced providers.

The Compliance Officer MLRO possess excellent experience in regulatory compliance within asset management or a licensed financial institution. You will have in-depth knowledge of FSRA Rulebook (COBS, GEN, CIR, AML), a strong understanding of fund governance, NAV processes, and risk-based client onboarding frameworks and experience in preparing for or responding to regulatory inspections. You will ideally currently hold authorised status with FSRA/DFSA . You will ideally have held experience within a category 3C firm and have exposure to alternative investment.

This is an excellent role offering growth and progression. Please apply now or for further information contact Kayte Short at Robert Walters at [email protected]