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regulatory compliance officer

Apex Group Ltd

<div>
 The Apex Group was established in Bermuda in 2003 and is now one of the world&rsquo;s largest fund administration and middle office solutions providers.
 
 
 Our business is unique in its ability to reach globally, service locally and provide cross-jurisdictional services. With our clients at the heart of everything we do, our hard-working team has successfully delivered on an unprecedented growth and transformation journey, and we are now represented by over circa 13,000 employees across 112 offices worldwide.Your career with us should reflect your energy and passion.
 
 
 That&rsquo;s why, at Apex Group, we will do more than simply &lsquo;empower&rsquo; you. We will work to supercharge your unique skills and experience.
 
 
 Take the lead and we&rsquo;ll give you the support you need to be at the top of your game. And we offer you the freedom to be a positive disrupter and turn big ideas into bold, industry-changing realities.
 
 
 For our business, for clients, and for you
 
 
 
 Compliance Officer and MLRO
 
 
 
 
 Role Location:
 
 Abu Dhabi
 
 
 
 Employment Type:
 
 Permanent
 
 
 
 Reporting line:
 
 Reports into the Regional Compliance Officer &ndash; Middle East
 
 
 
 Role and Responsibilities include:
 
 
 
 Setting, establishing and monitoring adherence to processes, policies and procedures to meet -compliance, legal and regulatory requirements.
 
 
 Responsibilities:
 
 
 <ul>
 <li>
 Overseeing licensing requirements and regulatory obligations while ensuring that compliance activity takes account of all relevant legislation and ADGM/FSRA/SCA related activities;
 </li>
 <li>
 Review of compliance and internal control operations and ensuring that they are in adherence with the firm&rsquo;s and Apex Group&rsquo;s Policies and Procedures;
 </li>
 <li>
 Ensuring the effective implementation of the Compliance Monitoring Programme and performing monitoring activities;
 </li>
 <li>
 Ensuring that non-compliant findings are tracked with the respective business function managers until resolved;
 </li>
 <li>
 Reporting to and liaising with the SEO, Regional Compliance Officer and the Board as required, on compliance related matters;
 </li>
 <li>
 Preparing and submitting compliance reports to management and various committees and governance structures within the Apex Group;
 </li>
 <li>
 Preparing and submitting reports to regulatory authorities;
 </li>
 <li>
 Keeping up-to-date with all relevant laws and regulations and communicating regulatory changes and developments to senior management and staff;
 </li>
 <li>
 Providing advice, and assistance where relevant, to senior management and staff on Apex Group compliance-related matters;
 </li>
 <li>
 Setting strategy for managing the relationship with the Regulator(s) and for all operational aspects of it, including visits and reporting;
 </li>
 <li>
 Handling communications with the Regulator(s), obtaining approvals as required, notifying the Regulator as required for all compliance-related matters;
 </li>
 <li>
 Maintaining a register of PEPs, High Risk clients and investors; complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;
 </li>
 <li>
 Providing assistance and support in satisfying staff training and development needs and plans to new regulations and legislation;
 </li>
 <li>
 Preparing training material and deliver training in compliance with regulatory obligations and business procedures;
 </li>
 <li>
 Oversight and management of the regulatory risks within the business;
 </li>
 <li>
 Acting as the firm&rsquo;s MLRO, establishing and maintaining the firm&rsquo;s Anti Money Laundering policies, procedures, systems and controls in compliance with the Regulatory Anti Money Laundering rules and all relevant legislation applicable in the jurisdiction and Group Apex Policies;
 </li>
 <li>
 Monitoring suspicious transactions, identify potential sanctions and submit reporting as required;
 </li>
 <li>
 Promoting a positive compliance culture through engagement with staff;
 </li>
 <li>
 Handling other ad-hoc compliance-related projects that may be assigned from time to time.
 </li>
 <li>
 Ensure that the firm adheres to data protection requirements, staff are informed about their obligations and responsibilities and raise awareness about them;
 </li>
 <li>
 Give advice and recommendations to the firm about the interpretation or application of the data protection rules;
 </li>
 <li>
 Monitor that a register of processing operations is maintained by the firm;
 
 
 </li>
 </ul>
 
 Skills Required:
 
 
 
 <ul>
 <li>
 Financial services experience of 5 to 7 years working within a financial environment, specifically Fund Administration experience.
 </li>
 <li>
 Understanding of the relevant regulations in UAE and International AML Laws.
 </li>
 <li>
 Relevant professional qualifications e.g. AML, CDD, Compliance, Risk, or equivalent.
 </li>
 <li>
 Experience in Customer Due Diligence (CDD/KYC) on various international corporate structures and risk profiles.
 </li>
 <li>
 Excellent communication and organisational skills.
 </li>
 <li>
 Experienced leader able to develop team members.
 </li>
 <li>
 Motivated and driven and a team player.
 </li>
 <li>
 Solutions driven critical thinking, with the ability to adapt to change.
 
 
 </li>
 </ul>
 
 What you will get in return:
 
 
 
 <ul>
 <li>
 A high level of visibility within a large organisation on an upwards trajectory
 </li>
 <li>
 The ability to define compliance processes to drive innovation and have a tangible impact on the business
 </li>
 <li>
 Be part of a dynamic and fast-paced team that makes a genuine impact on the business
 </li>
 <li>
 Exposure to all aspects of the business and cross-jurisdiction
 </li>
 <li>
 The opportunity to innovate, bring discipline to brand activity and really make a difference.
 
 
 </li>
 </ul>
 Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.
</div>

Compliance Officer and MLRO

<div>QCP is Asia's leading digital asset partner, empowering clients to seamlessly integrate digital assets into their portfolios.
We offer a comprehensive range of solutions - from spot on/off ramping and fixed income strategies to vanilla options and bespoke exotics.
Driven by the vision to be the most trusted partner in digital asset markets, we provide innovative solutions that make digital assets a core component of every portfolio, balance sheet, and treasury.
Since our founding in 2017, we have witnessed the potential of digital assets to transform financial markets and the world at large. We exist at the centre of change, successfully navigating three market cycles and bridging institutional and crypto ecosystems.
We work to build trusted partnerships, putting client success and care at the heart of everything that we do.
Responsibilities:<ul>
<li>Assist in conducting KYC checks on potential and existing customers.</li>
<li>Assist in conducting EDD reviews for high-risk customers.</li>
<li>Assist in monitoring cryptocurrency transactions for regulatory compliance.</li>
<li>Assist in developing, implementing, and updating compliance and AML policies and procedures.</li>
<li>Collaborate with teams to help implement compliance controls.</li>
<li>Support the Compliance Officer &amp; MLRO to implement effective AML and Compliance frameworks.</li>
<li>Maintenance of QCP ME&rsquo;s compliance folders and filing.</li>
<li>Ad hoc tasks, as and when necessary.</li>
</ul>Requirements<ul>
<li>Familiarity with UAE AML CFT regulations, including FSRA regime.</li>
<li>Knowledge in Cryptocurrency.</li>
<li>Familiarity with blockchain analytics tools (i.e. chainanalysis).</li>
<li>Familiarity with sanctions screening tools (i.e. ComplyAdvantage, Worldcheck).</li>
<li>Attention to detail.</li>
<li>Good communications skills, both oral and writing.</li>
<li>Good people skills (soft skills).</li>
<li>Bachelor&rsquo;s Degree holder (i.e Finance/Accounting/Law).</li>
</ul>Benefits
The Environment We Offer
As a growing firm with a tightly-knit team, we respect and listen to all our employees. You will get the chance to make an impact by having your voice heard by everyone, including the management.
Our employees enjoy a high level of autonomy at work. We focus on substance, not form - as long as you can perform, you will be recognized and rewarded. We are also dedicated to supporting our staff and ensuring they develop holistically to maximize their potential in the long- term.
We also provide flexible working arrangement as required and a casual and fun environment to boot!</div>

Compliance Officer (ADGM)

Sundus

<div>
 
 Job Code:5294
 
 
 
 
 Job Title: Compliance and Governance Specialist
 
 
 
 
 Location Abu Dhabi
 
 
 
 
 Experience 7+ Years
 
 
 
 
 Duration 1 year (Renewable)
 
 
 
 
 Payroll Sundus
 
 
 
 
 Client Government Client
 
 
 
 
 Education Bachelor&rsquo;s degree
 
 
 
 
 Experience Required
 
 
 
 <ul>
 <li>
 Minimum of 7 years of experience in the field.
 </li>
 <li>
 Preference will be given to candidates with prior experience in:
 </li>
 <ul>
 <li>
 Data management applications and systems.
 </li>
 <li>
 Governmental scope and requirements, such as the "Data Maturity Index."
 
 </li>
 </ul>
 </ul>
 
 Required Skills
 
 
 
 <ul>
 <li>
 Strong understanding of regulatory frameworks related to the government support services sector in the Emirate of Abu Dhabi.
 </li>
 <li>
 Excellent analytical skills with strong attention to detail.
 </li>
 <li>
 Effective communication skills to train employees on compliance matters.
 </li>
 <li>
 Ability to work independently while managing multiple tasks.
 
 
 </li>
 </ul>
 
 Key Responsibilities
 
 
 
 <ul>
 <li>
 Develop and implement compliance programs in accordance with applicable laws and regulations and provide guidance on internal regulatory requirements across various functions (including but not limited to: HR, Finance, Procurement, Data Management).
 </li>
 <li>
 Conduct proactive audits to measure adherence to laws, regulations, approved policies, systems, and documentation within the authority. This includes planning, designing, implementation, verification, and preparation of audit reports on the level of compliance.
 </li>
 <li>
 Regular review, monitoring, and follow-up of compliance with laws, regulations, and documentation, ensuring alignment with internal operational procedures. Provide technical support to ensure compliance with technical requirements in coordination with relevant departments.
 </li>
 <li>
 Establish internal controls in coordination with the relevant department manager and monitor adherence.
 </li>
 <li>
 Coordinate, attend, and document compliance evaluation sessions; receive and review documents and evidence, ensuring they meet compliance requirements in coordination with relevant departments and external parties.
 </li>
 <li>
 Prepare various reports and identify areas for improvement to achieve compliance, develop corrective action plans, follow up on progress, and report achievements (to senior management and requesting entity).
 </li>
 <li>
 Perform any other tasks deemed necessary by the authority to ensure the success and interests of the work.
 </li>
 </ul>
</div>

Compliance and Governance Specialist

Jobs via eFinancialCareers

<div>
 
 Key Responsibilities:
 
 
 
 <ul>
 <li>
 Review, evaluate and resolve complaints related to Regulatory non-compliance by determining and applying appropriate ADR techniques aligned with internal policies and global best practices.
 </li>
 <li>
 Effectively engage with both employers and employees in the ADGM jurisdiction to facilitate fair and timely resolution using suitable ADR techniques and methods.
 </li>
 <li>
 Support the development and drafting of policies, operational procedures, guidance notes, circulars.
 </li>
 <li>
 Contribute to the creation of educational content, including compelling presentations, fact sheets and toolkits.
 </li>
 <li>
 Deliver workshops, training sessions, and stakeholder engagement initiatives.
 </li>
 <li>
 Support the monitoring and inspection of employment practices, conduct interviews, and investigations related to alleged contraventions of the Regulations and draft reports of findings and recommendations.
 </li>
 <li>
 Provide input into reports, dashboards, and strategy documents to support the operational readiness of the EAO.
 </li>
 <li>
 Review and draft responses to inquiries and requests for guidance on the Regulations.
 
 
 
 </li>
 </ul>
 
 Qualification and Experience:
 
 
 
 <ul>
 <li>
 Law degree from a common law jurisdiction and/or accredited paralegal certification is essential.
 </li>
 <li>
 Understanding of ADR principles and techniques combined with proven experience conducting conciliation, mediation, or facilitated negotiations in employment disputes.
 </li>
 <li>
 Minimum 5 years of post-secondary legal experience, preferably gained through a combination of working internationally and locally with at least part of it at a reputable law firm in the UAE with a focus on conflict management/resolution.
 </li>
 <li>
 Prior experience in a government, quasi-judicial or regulatory environment is highly desirable.
 </li>
 <li>
 Understanding of the provisions of the Regulations and familiarity with the UAE Federal Labour Law and MOHRE processes.
 </li>
 <li>
 Experience contributing to operational start-ups, program development or new service models.
 </li>
 <li>
 Advanced proficiency in AI , Microsoft PowerPoint and Excel, with ability to prepare visually compelling reports, presentations and educational content.
 </li>
 <li>
 Superior legal drafting and oral communication skills, attention to detail, and the ability to synthesize and convey complex information clearly and concisely.
 
 
 
 </li>
 </ul>
 
 Key Competencies:
 
 
 
 <ul>
 <li>
 Well developed analytical/problem solving skills, critical thinking and sound judgement.
 </li>
 <li>
 Ability to establish effective working relationships with both internal and external clients, including employees and employers and negotiation skills.
 </li>
 <li>
 Ability to handle sensitive and contentious issues with diplomacy and professionalism.
 </li>
 <li>
 Ability to plan and conduct research and prepare written evaluations and recommendations.
 </li>
 <li>
 Proactive, self-motivated, solution focused and ability to work well with little supervision.
 </li>
 <li>
 Strong work ethic, excellent attention to detail and organisational skills.
 </li>
 <li>
 Ability to work both independently and as an effective team member with the ability to work in a dynamic, start-up regulatory environment.
 </li>
 <li>
 Ability to communicate (orally and in writing) in Arabic is an asset.
 
 
 
 </li>
 </ul>
</div>

Employment Affairs - Specialist (Legal) - Abu Dhabi Global Market (ADGM)

DICETEK LLC

<div>* Conduct gap assessment (lookback exercise) against FCC regulatory guidelines and notices<ul><li>Track and monitor remediation of identified gaps through action plans and dashboards</li><li>Support timely submission of documentation and updates to CBUAE</li></ul>
<ul><li>Overall experience &ndash; 8+ years</li><li>Preferable that candidate has knowledge of UAE&rsquo;s AML/CFT/CPF and TFS legislation</li><li>Preferable that candidate has knowledge/experience of CBUAE data submission platforms/systems</li><li>Management of a team and experience in working with business stakeholders to develop policies and procedures</li></ul></div>

Manager - Regulatory Compliance

Finance House

<div>
 
 
 
 Summary
 
 
 
 
 
 
 
 The Group Head of Compliance leads the Group&rsquo;s Corporate Compliance Program, serving as an independent and objective function that ensures full adherence to regulatory requirements and Finance House Group&rsquo;s Standards of Conduct. The role provides strategic direction, oversight, and leadership for compliance across all business units, ensuring alignment with the regulatory frameworks of the Central Bank of the UAE (CBUAE), Securities &amp; Commodities Authority (SCA), Dubai Financial Services Authority (DFSA), and Abu Dhabi Global Market &ndash; Financial Services Regulatory Authority (FSRA).
 
 
 
 
 
 This role acts as FHG&rsquo;s central compliance authority, safeguarding the organization against regulatory, financial crime, reputational, and conduct risks, while promoting a strong compliance and ethics culture at all levels.
 
 
 
 
 
 
 
 Key Responsibilities
 
 
 
 
 
 
 
 
 Strategic Leadership &amp; Governance
 
 
 
 
 
 <ul>
 <li>
 Define, lead, and execute the Group-wide Compliance strategy in line with applicable CBUAE, SCA, DFSA, and FSRA regulations.
 </li>
 <li>
 Serve as the principal advisor to the Board and Executive Management on all compliance, governance, and regulatory matters.
 </li>
 <li>
 Oversee compliance reporting to the Board, Risk Committees, and regulators.
 </li>
 </ul>
 
 
 
 
 
 Regulatory Compliance
 
 
 
 
 
 <ul>
 <li>
 Ensure Group-wide adherence to all relevant laws, regulations, and directives issued by UAE and international regulatory authorities.
 </li>
 <li>
 Act as liaison with regulators (CBUAE, SCA, DFSA, FSRA) and maintain strong relationships to manage regulatory expectations.
 </li>
 <li>
 Anticipate and respond to regulatory changes, ensuring timely updates to internal policies and procedures.
 </li>
 </ul>
 
 
 
 
 
 Financial Crime &amp; AML
 
 
 
 
 
 <ul>
 <li>
 Serve as Group Money Laundering Reporting Officer (MLRO), overseeing AML/CTF frameworks, transaction monitoring, sanctions screening, and suspicious activity reporting.
 </li>
 <li>
 Ensure robust systems and controls are in place to prevent money laundering, terrorism financing, fraud, and other financial crimes.
 </li>
 </ul>
 
 
 
 
 
 Compliance Framework &amp; Risk Management
 
 
 
 
 
 <ul>
 <li>
 Design, implement, and maintain a comprehensive compliance risk management framework across the Group.
 </li>
 <li>
 Conduct compliance risk assessments and develop mitigation strategies.
 </li>
 <li>
 Oversee compliance monitoring, surveillance, and testing programs.
 </li>
 </ul>
 
 
 
 
 
 Compliance Systems &amp; Technology
 
 
 
 
 
 <ul>
 <li>
 Lead the implementation, integration, and enhancement of compliance systems (e.g., AML monitoring, sanctions screening, KYC/CDD platforms, regulatory reporting tools, and RegTech solutions).
 </li>
 <li>
 Ensure compliance systems are optimized to support regulatory reporting, oversight, and monitoring requirements across business lines.
 </li>
 <li>
 Drive automation and digital adoption within compliance functions to improve efficiency and control effectiveness.
 </li>
 </ul>
 
 
 
 
 
 Ethics, Conduct &amp; Culture
 
 
 
 
 
 <ul>
 <li>
 Act as Group Ethics Officer, embedding a culture of integrity, ethical conduct, and accountability.
 </li>
 <li>
 Manage the Group&rsquo;s whistleblowing framework and Compliance Hotline.
 </li>
 <li>
 Provide oversight on conflicts of interest, market conduct, and customer protection standards.
 </li>
 </ul>
 
 
 
 
 
 Training &amp; Awareness
 
 
 
 
 
 <ul>
 <li>
 Develop and deliver enterprise-wide compliance training programs, tailored to business units and regulatory requirements.
 </li>
 <li>
 Promote compliance awareness and strengthen the &ldquo;tone from the top.&rdquo;
 </li>
 </ul>
 
 
 
 
 
 Cross-Functional Collaboration
 
 
 
 
 
 <ul>
 <li>
 Partner with Legal, Risk, Internal Audit, Human Capital, IT, and business units to ensure compliance is integrated into all processes, products, and platforms.
 </li>
 <li>
 Support digital and product innovation by ensuring new initiatives are regulatory compliant.
 </li>
 </ul>
 
 
 
 
 
 Continuous Improvement
 
 
 
 
 
 <ul>
 <li>
 Benchmark compliance practices against international best standards.
 </li>
 <li>
 Continuously enhance policies, systems, controls, and reporting mechanisms to maintain regulatory and business relevance.
 </li>
 </ul>
 
 
 
 
 
 
 Experience
 
 
 
 
 
 
 <ul>
 <li>
 15+ years of progressive compliance, regulatory affairs, and financial crime experience within banking, financial services, or regulatory bodies.
 </li>
 <li>
 Demonstrated leadership in managing compliance frameworks across
 
 CBUAE, SCA, DFSA
 
 , and
 
 FSRA
 
 regulated entities.
 </li>
 <li>
 Proven expertise in compliance system implementation, integration, and automation (AML monitoring, sanctions screening, KYC/CDD, and RegTech adoption).
 </li>
 <li>
 Strong track record in AML/CTF, sanctions compliance, governance, and risk management.
 </li>
 <li>
 Solid experience in stakeholder engagement with regulators, boards, and executive committees.
 </li>
 </ul>
 
 
 
 
 
 
 Qualifications
 
 
 
 
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree in Law, Business, or Finance (Master&rsquo;s preferred).
 </li>
 <li>
 CAMS (Certified Anti-Money Laundering Specialist) and CISI Level 3 Compliance certification.
 </li>
 <li>
 Additional certifications in compliance systems or financial crime prevention are advantageous.
 </li>
 </ul>
 
 
</div>

Group Head of Compliance

Best Choice Recruitment Consultancy

Looking for a Chief Risk and Compliance Officer (CRCO) to be involved in developing strategies and countermeasures to manage risks, reporting exposures to executives and the board, and fostering a strong risk and compliance culture across the organization. Key Responsibilities<ul><li>Risk Assessment and Mitigation:Identifying and evaluating various risks, including financial, operational, strategic, and technology-related risks.</li><li>Policy Development:Creating and implementing policies and procedures to manage identified risks and ensure regulatory compliance.</li><li>Compliance Monitoring:Maintaining adherence to laws, regulations, and industry standards, and ensuring internal controls are effective.</li><li>Reporting and Strategy:Providing expert advice and detailed reports to the CEO, board, and other executives on risk exposures and mitigation strategies.</li><li>Crisis Management:Leading crisis response efforts and implementing corrective measures when issues arise.</li><li>Culture Building:Promoting a strong risk and compliance culture by training employees and coordinating efforts across the organization.</li></ul>Key Skills and Qualifications<ul><li>Strategic Thinking:A strategic mindset to develop proactive solutions for complex risk environments.</li><li>Analytical Skills:The ability to analyze complex data and information to identify risks and develop effective mitigation plans.</li><li>Leadership:Strong leadership skills to guide risk and compliance efforts across the organization.</li><li>Regulatory Knowledge:Deep understanding of relevant laws, regulations, and industry requirements.</li><li>Communication:Effective communication skills to report to the board and senior management and collaborate with other executives.</li></ul>Job Type: Full-timePay: From AED60,000.00 per monthEducation:<ul><li>Bachelor's (Preferred)</li></ul>Experience:<ul><li>Chief Risk Compliance Officer : 10 years (Preferred)</li><li>Banking : 10 years (Preferred)</li><li>Financial institution : 10 years (Preferred)</li><li>managing the board members: 10 years (Preferred)</li></ul>Language:<ul><li>English (Preferred)</li><li>Arabic (Preferred)</li></ul>

Chief Risk Compliance Officer

Explore 1245+ Regulatory compliance officer in Abu Dhabi this September. Find roles across top companies and apply now to boost your career.