About ZAD
ZAD is the brainchild of a group of young, passionate Kuwaiti financial professionals drivenby a vision of fostering a culture of investment in Kuwait. And for this team, Zad began as ameans to answer a need in the market: the need to make investment an accessible conceptand viable choice for a broader audience.
Department: Compliance
Location: Remote
Reports: CEO / Senior Executive Officer / Board. The successful candidate will report directly to the Head Office in Kuwait and work closely with the senior leadership team
Works closely with MLRO, Legal, Risk, Operations, and Internal Audit teams.
Employment Type: The position is part-time, with working hours from 10:00 AM to 2:00 PM, Monday through Friday
Role Summary
The Compliance Officer will oversee the firm's regulatory compliance framework forbrokerage and wealth management activities conducted under the Abu Dhabi GlobalMarket (ADGM) and regulated by the Financial Services Regulatory Authority (FSRA).
The role is responsible for ensuring compliance with all applicable FSRA regulations,AML/CFT obligations, client asset rules, conduct of business requirements, and governancestandards.
The Compliance Officer will work closely with senior management, operations, risk, legal,and front-office teams to maintain a robust compliance culture and effective regulatorycontrols across the organization.
Key Responsibilities
- Ensure ongoing compliance with ADGM FSRA rules applicable to brokerage and wealth management activities.
- Develop and maintain compliance policies, procedures, and monitoring frameworks.
- Monitor client onboarding, suitability assessments, and investor classification processes.
- Oversee AML/CFT, sanctions screening, KYC, CDD, and transaction monitoring processes.
- Review marketing materials, disclosures, and client communications for regulatory compliance.
- Act as the primary liaison with the FSRA regarding compliance matters.
- Conduct compliance monitoring reviews and risk assessments.
- Prepare compliance reports for senior management and the Board.
- Support audits, regulatory inspections, and remediation plans.
- Provide compliance and AML training to employees.
Education
- Bachelor's degree in Law, Finance, Business Administration, Risk Management, orrelated field.
- Professional certifications preferred (CAMS, ICA, CISI, CFA, ACCA).
Experience
- Minimum 5–7 years of compliance experience within brokerage, wealthmanagement, banking, fintech, or regulated financial institutions.
- Strong knowledge of ADGM FSRA regulations, AML/CFT frameworks, and Conduct ofBusiness requirements.
- Experience dealing directly with regulators preferred.
- Strong analytical, communication, and stakeholder management skills.
Preferred Experience
- ADGM or DIFC regulated firms.
- Online brokerage platforms.
- Robo-advisory and wealth management platforms.
- International securities and capital markets
ADGM Regulatory Notes
- The Compliance Officer role is considered a Controlled Function requiring FSRA approval prior to appointment.
- The FSRA expects Compliance Officers to possess sufficient seniority, independence,and relevant regulatory experience.
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