Compliance & Anti-Money Laundering Officer - Cat 3A

Job Description

Location: Abu Dhabi

The Company

Our client is the first self-directed digital investment platform in the region. They aim to be at the forefront of economic development in the region by promoting financial literacy and providing individuals with access to local investment opportunities while channeling those investment funds to local enterprises to continue growing local economies and creating jobs.

Job Purpose

This role requires a proactive leader with deep expertise in compliance, financial crime prevention and regulatory frameworks in the UAE.

Duties and responsibilities

• Develop and maintain the compliance policies and procedures.
• Implement a risk-based compliance program. Perform monitoring and surveillance reviews in line with the compliance monitoring plan.
• Conduct trade surveillance and transaction monitoring.
• Provide regulatory guidance to staff, the SEO, and the Board.
• Prepare and present compliance reports for the Board.
• Assist with client enquiries and requests for information.

• Maintain Anti-Money Laundering (AML) policies and procedures.
• Oversee Know Your Customer (KYC) and Customer Due Diligence (CDD) processes.
• Identify, analyse, and report suspicious transactions.
• Provide Anti Money Laundering training to staff and advisory support.
• Act as the primary contact for filing Suspicious Activity Reports (SARs).

• FSRA or DFSA-approved person is essential.
• Experience with a Category 3A licensed firm is essential.
• Bachelor's degree in business, law, or a related field.
• A relevant professional certification (e.g., Certified Compliance Professional) is a plus.
• 4-6 years of experience working in a compliance role, preferably within a regulated industry.
• Strong knowledge of UAE laws, regulations, and industry standards.
• Excellent analytical skills with the ability to interpret complex regulations and assess their impact on the organization.
• Effective communication and interpersonal skills to collaborate with stakeholders at all levels.
• Attention to detail and the ability to handle confidential information with discretion.
• Strong organizational and project management skills to handle multiple compliance initiatives simultaneously.
• Proficient in compliance management software and tools.
• Knowledge of ADGM Data Protection laws is a plus.
• Familiarity with SQL for compliance data analysis is beneficial.