Deputy Compliance/mlro Officer

4 days ago

Dubai, United Arab Emirates Arboris Capital Limited Full time

**ABOUT ARBORIS CAPITAL**

Arboris Capital Limited is a DIFC-based investment bank regulated by the DFSA with a prudential category 4 license. We specialize in providing strategic advisory services, M&A advisory, and alternative investment opportunities to High Net Worth Individuals, family offices, and institutional investors across the GCC region.

Our proprietary platform, CapGain, empowers investors to access and invest in curated private markets opportunities, including private equity, private credit, venture capital, and real estate funds. At Arboris Capital, we are committed to innovation, excellence, and delivering bespoke financial solutions that meet the sophisticated needs of our clients.

**M**AIN PURPOSE OF THE JOB**

As the **Deputy Compliance Officer/MLRO** at **Arboris Capital Limited**, you will play a pivotal role in maintaining the firm’s adherence to DFSA regulations and DIFC laws. This position supports the Compliance & MLRO Officer by managing compliance frameworks, monitoring regulatory adherence, and ensuring robust financial crime prevention measures are in place.

In this essential role, you will oversee day-to-day compliance activities, conduct ongoing risk assessments, and ensure all policies and procedures align with current regulatory requirements. You will assist in handling client due diligence, internal audits, and reporting obligations, ensuring the highest standards of regulatory integrity and governance.

This position offers a unique opportunity to deepen your expertise in compliance within a fast-growing, DFSA-regulated investment bank. You will be instrumental in shaping the firm’s compliance culture and safeguarding its reputation as a trusted financial institution.

If you are detail-oriented, passionate about regulatory compliance, and committed to upholding the highest standards of financial crime prevention, this role provides a rewarding pathway in the dynamic world of investment banking and alternative investments.

**DUTIES AND RESPONSIBILITIES**

**Compliance Monitoring and Reporting**
- Develop and maintain the Compliance Monitoring Plan (CMP) and oversee periodic reviews to ensure alignment with DFSA requirements and implemented compliance monitoring programme.
- Conduct compliance assessments for Arboris’s digital platforms (e.g., CapGain) to ensure the integration of RegTech tools into regulatory workflows.
- Prepare and submit regulatory filings, including DFSA prudential returns and goAML reports
- Support the Compliance/MLRO Officer in managing and implementing the Compliance Control Framework, emphasizing the prevention of financial crime.
- Regularly update compliance checklists and reports to track adherence to internal and external policies.
- Prepare documentation for regulatory filings and assist with timely submission to the DFSA.
- Coordinate the preparation and submission of Suspicious Activity Reports (SARs) via the goAML portal as required by regulatory obligations.
- Maintain compliance dashboards and generate comprehensive Management Information (MI) reports, including financial crime-related data for senior leadership
- Maintain and regularly review client onboarding processes, ensuring effective and efficient KYC procedures using digital compliance platforms.

**Training and Awareness**
- Deliver compliance training programs for employees, ensuring organization-wide awareness of AML/KYC/CTF standards and DFSA obligations.
- Foster a culture of compliance by developing communication strategies that emphasize regulatory accountability at all levels of the organization

**Financial Crime Prevention**
- Manage the Suspicious Activity Reporting (SAR) process, ensuring timely submission via the goAML portal and immediate escalation of high-risk activities.
- Monitor the implementation of policies to prevent money laundering, terrorist financing, and sanctions violations, including real-time checks via AML platforms

**Regulatory Adherence**
- Ensure company-wide adherence to DFSA’s AML, KYC, and CTF frameworks, including transaction monitoring and reporting of suspicious activity.
- Support regulatory change management efforts by identifying new requirements, conducting impact assessments, and updating policies accordingly.
- Manage regulatory audits, internal compliance reviews, and external inspections, ensuring full collaboration with auditors and regulators.
- Maintain and regularly review client onboarding processes, ensuring effective and efficient KYC procedures using digital compliance platforms.

**Digital and Technological Compliance**
- Collaborate with Arboris’s technology teams to integrate compliance protocols into the CapGain platform, ensuring alignment with DFSA’s regulatory technology standards.
- Evaluate and recommend RegTech solutions to improve transaction monitoring, due diligence, and compliance automation.

**Collaboration and Support**
- Maintain accurate records of compliance activities, including KYC/AML files, clien

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