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At least 8–10 years of relevant experience, a strong track record in the UAE, fluency in both Arabic and English, and hands‑on experience with UAE CMA (formerly SCA) and ADX regulatory frameworks. Prior experience in a listed company, investment group, financial services firm, holding company, or government‑related entity is viewed favourably.
Job
The United Arab Emirates continues to cement its position as a global financial hub, and with that growth comes an ever‑increasing demand for seasoned compliance professionals who can navigate the complex web of local and international regulations. Enter Pennell Hart, a distinguished Legal & Compliance Executive Search firm based in the UAE, which is currently recruiting for a pivotal Compliance Officer role on behalf of a confidential client—an investments company based in Abu Dhabi. This is not merely another corporate opening; it is a gateway to influencing the compliance architecture of a diversified investment group with a broad portfolio of entities and subsidiaries.
For legal professionals and compliance specialists with deep roots in the UAE's regulatory ecosystem, this opportunity offers a rare blend of strategic oversight, cross‑entity exposure, and direct reporting to the General Counsel. The role demands more than just a familiarity with compliance—it requires a mastery of the UAE Securities and Commodities Authority (CMA) and Abu Dhabi Securities Exchange (ADX) frameworks, alongside fluency in Arabic and English. With over 200 applicants already in the pipeline, the competition is fierce, making it essential for qualified candidates to understand the nuances of this position and present a compelling, precise application.
The financial services landscape in the UAE has undergone a transformative shift over the past decade. Regulatory bodies such as the Securities and Commodities Authority—formerly known as SCA—have tightened their grip on market conduct, corporate governance, and anti‑money laundering (AML) protocols. Meanwhile, the Abu Dhabi Securities Exchange has become a benchmark for transparent trading and listing requirements, attracting both regional and international investors. In this environment, a compliance officer is no longer a back‑office function but a strategic partner who protects the organization's reputation, ensures operational continuity, and aligns business strategies with regulatory expectations.
According to the job posting, the successful candidate will be responsible for supporting the development, implementation, and monitoring of the Group's legal and regulatory compliance framework across the company and its subsidiaries. This is a group‑level mandate, meaning the officer will need a birds‑eye view of multiple legal entities, each with its own regulatory obligations, risk profiles, and business nuances. The role also entails embedding robust compliance policies and controls—a task that demands both technical expertise and the soft skills to influence stakeholders at various levels.
"Reporting to the General Counsel, the Compliance Officer will support the development, implementation, and monitoring of the Group's legal and regulatory compliance framework across the company and its subsidiaries." — Job description
One of the most attractive aspects of this position is the direct reporting line to the General Counsel. This is a clear signal that the organization views compliance as a critical component of legal governance, not an isolated administrative unit. The Compliance Officer will have a seat at the table when it comes to shaping compliance strategy, advising on regulatory changes, and mitigating risks across the portfolio. The role's scope extends to:
This is a role for a doer, not just a strategist. The candidate must be comfortable translating regulatory text into actionable frameworks, conducting compliance risk assessments, and handling incidents or breaches with poise and discretion. Given the group's investment focus, the officer will likely encounter complex financial products, cross‑border transactions, and joint venture structures, making prior experience in investment groups or holding companies a significant advantage.
The eligibility criteria set by Pennell Hart are deliberately stringent, reflecting the seniority and technical depth required for this mandate. Let's unpack the key requirements:
"Hands‑on experience with the UAE CMA (formerly SCA) and ADX regulatory framework is essential. Previous experience within a listed company, investment group, financial services business, holding company, or government‑related entity will be viewed favourably." — Job description
To succeed in this role, candidates must possess more than a theoretical understanding of the UAE's capital markets. The Securities and Commodities Authority, which was recently repositioned as the CMA (formerly SCA), is responsible for regulating and supervising the country's securities markets, including exchanges, brokerage firms, and listed entities. The ADX, on the other hand, is the primary stock exchange in Abu Dhabi and has evolved into a sophisticated platform with listing rules, disclosure standards, and corporate governance requirements that mirror international benchmarks.
A compliance officer at an investment group will need to monitor the group's portfolio for compliance with these frameworks, including any entities listed on the ADX. This includes maintaining insider trading policies, ensuring timely disclosure of material information, managing conflicts of interest, and safeguarding market integrity. Furthermore, with the UAE's increased focus on economic substance regulations, FATF recommendations, and beneficial ownership disclosures, the compliance function has become even more complex. The ideal candidate will have experience developing and implementing compliance programs that address both federal laws and exchange‑specific rules, while also being agile enough to respond to regulatory updates in real time.
For compliance professionals, this position represents a significant career inflection point. Reporting directly to the General Counsel provides unparalleled visibility into the organization's highest levels of decision‑making. The group‑wide scope means exposure to a variety of business lines, geographies, and regulatory regimes, which can accelerate professional growth and open doors to future roles such as Head of Compliance, Group Compliance Director, or even Chief Risk Officer.
Moreover, the reputation of Pennell Hart as a boutique executive search firm adds a layer of prestige. Being selected by a specialist recruiter often indicates that the candidate has been thoroughly vetted and is considered among the top tier in the field. For those who successfully secure this role, the potential to shape the compliance culture of a major investment group in Abu Dhabi is both a professional achievement and a personal milestone.
Given the volume of applicants, a generic resume will not suffice. To capture the attention of Pennell Hart and the hiring client, follow these strategic steps:
It is also worth noting that the recruiter has stated: "Unfortunately those who do not meet the criteria will not be contacted."
For legal professionals, a move into compliance can be a natural evolution of a legal career, offering the chance to work more closely with business operations while still applying rigorous legal reasoning. This role, in particular, promises a dynamic environment where no two days are the same. One day may be spent drafting a new compliance manual; another could involve presenting to the board on regulatory changes. The diversity of the portfolio ensures that the officer will never become stagnant.
On the flip side, the role carries significant responsibility and pressure. The compliance officer is the gatekeeper of the organization's integrity, and any lapse can result in regulatory fines, reputational damage, or legal consequences. Potential candidates should be prepared for a high‑stakes environment that demands meticulous attention to detail, ethical fortitude, and the ability to make unpopular recommendations when necessary.
No, the job explicitly requires a strong track record working in the UAE and hands‑on experience with UAE CMA and ADX regulatory frameworks. International experience may be valuable, but it is not a substitute for the local regulatory knowledge and cultural familiarity that this role demands.
It means the candidate has directly worked with matters falling under the remit of the Securities and Commodities Authority (now CMA) and the Abu Dhabi Securities Exchange. This could include preparing regulatory filings, managing interactions with regulators, ensuring compliance with listing rules, conducting assessments for market abuse, or developing internal policies that align with these frameworks.
Applications are being accepted through the original LinkedIn job posting. You should submit your application via the "Apply" button on the LinkedIn page. Ensure your LinkedIn profile is up‑to‑date and that your resume is tailored to the requirements highlighted in the posting. Given the high number of applicants, a polished, targeted CV is essential.
The job posting does not specify a deadline. However, the phrase "Apply now for immediate consideration" indicates that the hiring process has already begun and may close as soon as the right candidate is found. It is strongly advised to apply as soon as possible.
#J-18808-LjbffrThis listing is sourced from a third-party job board. Applying will redirect you to the original posting.
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