Compliance / MLRO Officer

• Develop, assess, and update compliance policies, procedures, and controls to ensure alignment with relevant legislation, regulatory standards, and best practices

• Act as the primary point of contact with the AFSA regarding compliance-related issues

• Manage various compliance tasks including client/business partner onboarding, trade surveillance, conduct of business monitoring, general compliance oversight, training, and regulatory reporting (includes MLRO function)

• Provide oversight of all AML/CFT and sanctions-related activities, ensuring the implementation of effective and sustainable controls

• Conduct due diligence checks and continuous AML reviews for both existing clients and business partners

• Supervise systems and controls to identify and address potential areas of AML compliance risk and develop and implement practical corrective measures

• Coordinate staff awareness and training initiatives on compliance matters, contributing to the enhancement of a compliance-oriented culture within the firm

• Manage firm records and registers as mandated by applicable regulations, encompassing registers related to breaches, complaints, suspicious transactions, training, etc

• Report to and collaborate with the Senior Executive Officer (SEO) and the Board as necessary on compliance-related issues, overseeing both internal and external compliance reporting processes

Requirements:

• 5+ years of relevant experience in compliance / MLRO positions, with at least 2 years in asset management or brokerage firms
• Experience with AIFC regulatory environment
• Relevant compliance and/or AML certifications
• Good understanding of financial markets, financial products and operations
• Strong English communication skills, both oral and written, coupled with robust analytical, problem-solving, and organizational abilities
• Capable of being hands-on, detail-oriented, and working autonomously
• Willingness to work in a startup environment and contribute significantly to business development and success