COMLRO (Client Role)

The COMLRO serves as the Compliance Officer and MLRO for the firm and in partnership with the Board and the SEO is responsible for managing the regulatory risk of the company The COMLRO is the primary point of contact with regulators and will work closely with the Board and SEO to manage regulatory risk This role requires a proactive leader with deep expertise in compliance financial crime prevention and regulatory frameworks in the UAE

Compliance Officer 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

MLRO Responsibilities

• 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

Skills and Experience

Bachelor's degree in business, law, or a related field.

A relevant professional certification (e.g., Certified Compliance Professional) is a plus.

7-10 years of experience working in a compliance role, preferably within a regulated industry.

FSRA or DFSA-approved person is essential for this role.

Strong knowledge of UAE laws, regulations, and industry standards.

Retail brokerage experience is essential for this role.

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.

Experience with a Category 3A licensed firm is essential for this role.

Knowledge of ADGM Data Protection laws is a plus.

Familiarity with SQL for compliance data analysis is beneficial.

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