Compliance Manager & MLRO

Job Description

Compliance Manager

Location: DIFC, Dubai

Overview

We are seeking an experienced Compliance Manager to join a DFSA-regulated firm. The role will be responsible for maintaining a robust compliance framework, ensuring adherence to DFSA rules, and supporting the business in delivering institutional-grade wealth and investment solutions to professional clients.

This is a hands-on position suited to a commercially aware compliance professional comfortable operating in a lean, high-calibre environment.

Key Responsibilities

• Act as primary liaison with the DFSA.
• Manage regulatory reporting, notifications, and annual returns.
• Maintain and execute the Compliance Monitoring Programme (CMP).
• Ensure ongoing adherence to DFSA Rulebook (COB, AML, GEN, PRU where applicable).
• Support regulatory inspections and audits.

• Oversee client onboarding (CDD/EDD) including complex structures and offshore vehicles.
• Conduct sanctions and PEP reviews.
• KYC.
• Prepare MLRO reports and suspicious activity reporting where required.

• Review client classification and suitability assessments.
• Oversee conflicts of interest framework.
• Monitor marketing approvals and financial promotions.
• Ensure compliance across discretionary/advisory mandates and alternative investments.

• Draft and update policies and procedures.
• Maintain risk registers and compliance logs.
• Prepare board and management reporting.
• Deliver compliance training to staff.
• Act as trusted adviser to senior stakeholders on regulatory matters.

• 5+ years compliance experience within regulated firms.
• Current or prior experience holding Authorised Individual status with DFSA.
• Strong knowledge of DFSA Rulebook and AML framework.
• Strong understanding of FATCA/CRS
• Experience handling professional client base and complex cross-border structures.
• CAMS or equivalent qualification advantageous.
• Commercially minded, pragmatic, and comfortable in a standalone or small team environment.