# Compliance Officer & MLRO > High Street Resources · Abu Dhabi, United Arab Emirates · Full-time · Posted 2026-08-25 **Workplace:** on_site ## Description Our client is an ADGM-regulated financial services firm operating within the broker-dealer and investment sector. The firm is committed to maintaining high standards of regulatory compliance, governance and financial-crime risk management while supporting the continued development of its business in the UAE. As part of its continued growth, the firm is seeking an experienced **Compliance Officer / Money Laundering Reporting Officer (CO/MLRO)** to join its team in Abu Dhabi. The Compliance Officer / MLRO will be responsible for leading and overseeing the firm's regulatory compliance and AML/CFT framework in accordance with applicable ADGM and FSRA requirements. Acting as the firm's designated **Compliance Officer and MLRO, subject to FSRA approval**, the successful candidate will work closely with senior management and business functions to ensure regulatory obligations are effectively embedded across the organisation. This is a senior, hands-on position requiring strong technical regulatory knowledge, sound judgement and commercial awareness. The successful candidate will be expected to provide practical, solution-oriented regulatory guidance while maintaining appropriate independence and effective engagement with the FSRA. ### Key Responsibilities - Lead and oversee the firm's Compliance and AML/CFT functions in accordance with applicable ADGM and FSRA rules and regulatory requirements. - Act as the firm's designated Compliance Officer and MLRO, subject to FSRA approval and applicable fit-and-proper requirements. - Maintain, review and enhance compliance and AML policies, procedures, risk assessments, frameworks and internal controls. - Develop, implement and execute the annual Compliance Monitoring Programme, ensuring identified issues are appropriately documented, escalated and remediated. - Oversee the client onboarding framework, including KYC, CDD/EDD, sanctions screening, PEP identification and ongoing monitoring. - Oversee transaction-monitoring processes and the identification, investigation and reporting of suspicious activity in accordance with applicable requirements. - Provide practical regulatory advice to senior management and business functions regarding existing activities, new products, business initiatives and regulatory developments. - Oversee compliance with applicable conduct-of-business requirements, including client classification, appropriateness and suitability, financial promotions, conflicts of interest and client communications. - Manage regulatory reporting, notifications, submissions and correspondence with the FSRA. - Act as a key point of contact for the FSRA and maintain an effective and professional relationship with the regulator. - Coordinate and manage regulatory inspections, thematic reviews, information requests and other regulatory engagements. - Oversee the remediation of regulatory findings and ensure agreed actions are completed within appropriate timelines. - Monitor changes to the ADGM/FSRA regulatory framework and assess their impact on the firm's activities, policies and controls. - Prepare regular Compliance and MLRO reports for senior management, relevant committees and the Board. - Deliver compliance and AML/CFT training and support the development of a strong compliance culture across the organisation. - Provide independent challenge to the business and escalate material regulatory or financial-crime risks where appropriate. ### Candidate Requirements - Minimum **3–5 years of directly relevant compliance experience** within an **ADGM/FSRA or DIFC/DFSA-regulated financial services firm**. - Strong preference for experience within a **broker-dealer, investment firm, CFD/FX broker, securities, derivatives or comparable regulated investment business**. - Strong practical knowledge of the **FSRA and/or DFSA regulatory framework**, including Compliance, Conduct of Business and AML requirements. - Demonstrable experience dealing directly with the **FSRA and/or DFSA**, including regulatory submissions, notifications, enquiries, inspections or regulatory reviews. - Previous experience as a Compliance Officer, MLRO, Deputy MLRO, Head of Compliance or in a comparable senior compliance position is highly desirable. - Strong knowledge of AML/CFT requirements, sanctions, CDD/EDD, PEP controls, transaction monitoring and suspicious activity reporting. - Practical understanding of conduct-of-business requirements applicable to investment and broker-dealer activities. - Experience developing and executing Compliance Monitoring Programmes and managing regulatory remediation activities. - Relevant university degree. - Professional compliance and/or AML qualification such as **ICA or ACAMS is required**. - Ability to satisfy the **FSRA's fit-and-proper requirements** for the Compliance Officer and MLRO functions. - Excellent written and verbal communication skills with the ability to engage effectively with regulators, senior management and business stakeholders. ### Key Competencies - **Critical Thinking:** Ability to analyse complex regulatory matters, challenge assumptions and reach well-reasoned conclusions. - **Solution-Oriented Approach:** Ability to develop practical and compliant solutions while supporting legitimate business objectives. - **Commercial Awareness:** Strong understanding of the commercial realities and regulatory risks associated with a broker-dealer or investment business. - **Independence & Integrity:** Confidence to provide independent challenge, escalate concerns and maintain appropriate regulatory standards. - **Sound Judgement:** Ability to assess regulatory and financial-crime risks and determine proportionate responses. - **Stakeholder Management:** Ability to communicate effectively with regulators, senior management, the Board and business functions. - **Ownership:** Ability to operate independently, manage multiple regulatory priorities and take responsibility for issues through to resolution. **Important:** Candidates must have substantive, hands-on experience within an **ADGM/FSRA or DIFC/DFSA-regulated financial services firm**. General UAE or international compliance experience without direct experience in either regulatory jurisdiction will not meet the requirements of this position. ## Apply [Apply at High Street Resources](https://apply.workable.com/high-street-resources/j/90EE0D2ACF/apply) --- Powered by [Workable](https://www.workable.com)