Senior Compliance Officer

2 weeks ago

Abu Dhabi, Abu Dhabi, United Arab Emirates ETRA Talent Full time 120,000 - 240,000 per year

Senior Compliance Officer

Abu Dhabi (ADGM)

Role Summary

The Senior Compliance Officer (Deputy CCO) will play a key role in supporting the Chief Compliance Officer & MLRO in overseeing the organisation's regulatory and financial crime compliance framework. This position requires strong knowledge of UAE regulatory environments (FSRA/SCA), sound judgement, and the ability to drive a culture of compliance within a fast-paced, highly regulated financial services environment.

Overall Responsibilities

Regulatory Compliance & Governance

  • Assist in developing, implementing, and maintaining a comprehensive compliance program aligned with FSRA, SCA, and international regulatory standards.
  • Support the CCO in maintaining effective relationships with regulators and ensuring timely submissions and interactions.
  • Prepare, review, and submit regulatory reports and filings.
  • Monitor regulatory changes and provide guidance on their impact to the business.
  • Act as Deputy CCO, assuming delegated responsibilities in their absence.
  • AML/CTF & Financial Crime
  • Support the development and enforcement of AML/CFT, sanctions, and KYC policies and controls.
  • Conduct AML/CTF risk assessments and support remediation where required.
  • Oversee the timely completion and submission of AML and related returns.
  • Monitoring, Surveillance & Controls
  • Design, implement, and execute the compliance monitoring and surveillance plan.
  • Identify, log, escalate, and resolve compliance issues, client complaints, and policy/regulatory breaches.
  • Assist with regulatory and client information requests.
  • Training, Advisory & Stakeholder Engagement
  • Provide regulatory, policy, and procedural guidance to internal stakeholders.
  • Deliver compliance and AML/CTF training to employees.
  • Advise colleagues across the group on complex or cross-border regulatory matters.

Reporting & Internal Responsibilities

  • Prepare compliance management information for senior management, ensuring clear visibility of key issues.
  • Adhere to and promote the organisation's operational risk framework.
  • Uphold the highest standards of ethics and conduct, in line with internal policies and the Code of Conduct.
  • Support risk management processes and escalate risk events immediately.

Other Responsibilities

  • Maintain up-to-date knowledge of FSRA, SCA, and international regulatory frameworks.
  • Build and maintain constructive relationships with regulators and respond promptly to information requests.
  • Ensure compliance with requirements of other relevant regulatory bodies where applicable.
  • Undertake additional responsibilities as required by the business.

Skills and Experience

  • Bachelor's degree in a relevant discipline; advanced qualifications or professional certifications preferred.
  • Substantial compliance experience within financial services.
  • Strong understanding of FSRA, SCA, AML/KYC, and international regulatory requirements.
  • Proven experience working in a regulated environment with robust knowledge of risk and compliance frameworks.
  • Experience engaging with regulators; direct exposure to FSRA and/or SCA is highly desirable.
  • Ability to deliver under pressure and manage competing priorities.
  • Ability to provide clear, actionable advice on complex regulatory topics.
  • Fluent English required; Arabic language skills (written and spoken) are a strong advantage.
  • Prior registration with SCA as a Compliance Officer is beneficial.

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