# Compliance Officer & MLRO - Asset & Investment Management

> Capitex · Dubai, United Arab Emirates · Full-time · Posted 2025-12-10

**Workplace:** on_site

## Description

### **Compliance Officer & MLRO – DFSA Regulated Firm (Asset & Investment Management)**

**Location:** Dubai International Financial Centre (DIFC)  
**Employment Type:** Full-Time  
**Seniority:** Mid–Senior Level

### **About the Opportunity**

A DFSA-regulated asset and investment management firm in the DIFC is seeking an experienced **Compliance Officer & Money Laundering Reporting Officer (CO/MLRO)** to lead its compliance and AML/CFT framework.

The successful candidate must have strong experience in **asset management, investment management, private equity, or related financial services**, with a solid understanding of DFSA regulations and DIFC regulatory expectations.

### **Key Responsibilities**

### **Regulatory Compliance (DFSA Focus)**

-   Maintain and oversee the compliance framework in accordance with **DFSA Rulebooks**, including GEN, AML, COB, PIB, and CIR as relevant.
-   Ensure the firm’s policies, procedures, and governance documents meet DFSA standards.
-   Prepare, review, and submit periodic regulatory returns, notifications, and filings to the DFSA.
-   Track regulatory changes and implement required updates across the business.

### **MLRO Responsibilities**

-   Act as the firm’s **appointed MLRO**, responsible for all AML/CFT obligations under DFSA and UAE Federal requirements.
-   Oversee KYC/CDD, onboarding risk assessments, and ongoing monitoring of clients and counterparties.
-   Conduct investigations and file **STR/SAR reports** to the UAE FIU as required.
-   Deliver AML/CFT and financial crime training across the firm.

### **Monitoring, Assurance & Governance**

-   Develop and execute the firm’s **Compliance Monitoring Plan (CMP)**.
-   Lead periodic internal compliance reviews and risk assessments.
-   Conduct due diligence on investors, service providers, and counterparties.
-   Provide compliance and AML guidance to senior management and committees.
-   Liaise with DFSA supervisors, internal auditors, and external consultants.

### **Requirements**

-   **4–8 years of compliance experience** within asset management, investment management, private equity, or similar regulated environments.
-   Strong knowledge of **DFSA rulebooks**, DIFC regulatory processes, and AML/CFT obligations.
-   Prior experience as CO/MLRO or Deputy CO/MLRO in a DFSA-regulated firm is highly desirable.
-   Ability to design, implement, and maintain compliance frameworks and monitoring plans.
-   Strong analytical, communication, and stakeholder management skills.
-   Professional certifications such as **CAMS, ICA, CFA, or similar** are a plus.

### **What We’re Looking For**

-   A proactive and commercially aware compliance professional.
-   Someone confident working in a boutique or mid-sized investment environment.
-   An individual capable of balancing regulatory expectations with business practicality.

## Apply

[Apply at Capitex](https://apply.workable.com/capitex/j/69A145B8EE/apply)

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