Compliance Officer (UAE – ADGM Entity)
Job Description:
The Compliance Officer will ensure that the organization operates in full compliance with applicable laws and regulations within the Abu Dhabi Global Market (ADGM) framework. This role is critical in managing regulatory risk, particularly in relation to AML/CTF, financial crime prevention, and conduct requirements, while maintaining strong engagement with the Financial Services Regulatory Authority (FSRA).
Key Responsibilities
- Design, implement, and continuously enhance the compliance framework in line with ADGM regulations and FSRA rulebooks, including requirements applicable to virtual asset service providers (VASPs).
- Monitor and interpret regulatory developments, FSRA guidance, consultation papers, and enforcement trends; assess business impact and ensure timely implementation of regulatory changes.
- Oversee the preparation, submission, and maintenance of all regulatory filings, returns, notifications, and disclosures required by FSRA, ensuring accuracy and timeliness.
- Conduct independent compliance monitoring, internal reviews, and control effectiveness assessments across business functions; identify gaps and recommend remediation actions.
- Establish and deliver compliance training programs covering AML/CTF, sanctions, market conduct, and ADGM regulatory obligations.
- Act as the primary point of contact with FSRA for regulatory communications, inspections, and information requests.
- Investigate potential breaches, compliance incidents, and control failures; escalate to senior management and prepare regulatory notifications where required.
- Collaborate closely with product, legal, AML, risk, and operations teams to ensure new products, services, and initiatives are compliant with ADGM regulatory expectations.
Requirements
- Minimum 5 years of compliance experience within regulated financial institutions, fintechs, or virtual asset firms, preferably within ADGM or similar regulatory environments.
- Bachelor’s degree in Law, Finance, Business, Economics, or a related field; professional certifications such as ICA or ACAMS are preferred.
- Strong knowledge of ADGM/FSRA regulatory framework, including AML/CTF requirements, sanctions, KYC/CDD standards, and risk-based supervision.
- Proven ability to interpret regulatory rulebooks, assess compliance risks, and communicate effectively with regulators and senior stakeholders.
- Prior experience dealing with FSRA licensing, regulatory submissions, or supervisory engagement is highly desirable.
