Compliance Manager

About the role

ADSS is a fast‑growing retail and institutional brokerage based in Abu Dhabi. The Compliance Manager will support the Group Chief Compliance Officer in building and maintaining a robust compliance monitoring and quality assurance framework across the organisation.

Key responsibilities

• Design, document and maintain a risk‑based Compliance Monitoring Program, including annual planning, scoping and scheduling of reviews.
• Conduct monitoring tests, thematic reviews and quality‑assurance checks, documenting findings and evidence clearly.
• Prepare monitoring reports with root‑cause analysis, regulatory references and practical recommendations, and track corrective actions to closure.
• Review new business initiatives, products, services and partnerships for regulatory fit, identifying required approvals or structural changes.
• Maintain a central register of business‑initiative assessments and provide written regulatory advice to stakeholders.
• Oversee call‑monitoring activities and support offshore licences and branch operations.

Required profile

• Minimum five years of experience in compliance monitoring, regulatory advisory or related functions.
• Strong analytical abilities and experience preparing high‑quality written reports for internal and regulator audiences.
• Ability to work independently while collaborating with business owners and senior compliance leaders.

Required skills

• Call Monitoring
• Compliance Monitoring
• International Sanctions
• Analytical Skills
• Best Execution Framework
• Regulatory Advisory
• Quality Assurance