Compliance Officer & Money Laundering Reporting Officer

About the role

Our client, an ADGM‑regulated broker‑dealer and investment firm, is expanding its compliance function in Abu Dhabi. The Compliance Officer & Money Laundering Reporting Officer (CO/MLRO) will lead the firm’s regulatory compliance and AML/CFT framework, acting as the designated point of contact for the FSRA.

Key responsibilities

• Lead and oversee all compliance and AML/CFT activities in line with ADGM and FSRA regulations.
• Maintain, review and enhance policies, procedures, risk assessments and internal controls.
• Design and execute the annual Compliance Monitoring Programme, ensuring issues are documented, escalated and remediated.
• Manage the client onboarding process, including KYC, CDD/EDD, sanctions screening, PEP identification and ongoing monitoring.
• Oversee transaction‑monitoring, investigate suspicious activity and file reports as required.
• Provide practical regulatory advice to senior management on new products, initiatives and regulatory changes.
• Ensure compliance with conduct‑of‑business requirements such as client classification, suitability and financial promotions.
• Handle regulatory reporting, notifications and correspondence with the FSRA.

Required profile

• Senior‑level professional with extensive experience in compliance, AML and financial‑crime risk management within a regulated financial services environment.
• Strong technical knowledge of ADGM and FSRA regulatory frameworks and fit‑and‑proper requirements.
• Excellent judgement, commercial awareness and the ability to work independently while engaging with senior stakeholders.

Required skills