Head of Compliance & MLRO

Our client is a DFSA-regulated financial services firm based in the DIFC and backed by an established group.

• Serve as the firm's Head of Compliance and MLRO.
• Act as the primary compliance contact for the DFSA and other relevant regulatory bodies.
• Maintain and enhance the firm's compliance framework in line with DFSA requirements.
• Oversee AML, CTF, sanctions and financial crime controls.
• Review and approve client onboarding, KYC and due diligence processes.
• Manage suitability reviews, client classification and risk assessment procedures.
• Enhance and maintain compliance manuals, policies, procedures and governance documentation.
• Design and implement compliance monitoring and testing programmes.
• Prepare compliance reports and risk assessments for senior management and Board committees.
• Deliver regulatory and compliance training across the business.
• Support regulatory inspections, thematic reviews and remediation projects.
• Provide practical compliance advice to business and client-facing teams.
• Monitor regulatory developments and assess their impact on the firm.
• Work closely with leadership to build scalable controls and governance structures that support business growth.

• 5-10+ years of experience as Compliance Officer & MLRO for DFSA/FSRA regulated firms (preferably cat 4).
• Strong understanding of AML, KYC, onboarding, suitability and compliance monitoring requirements.
• Experience drafting and maintaining compliance manuals, policies and procedures.
• Knowledge of Professional and Retail Client classifications.
• Experience engaging with regulators and managing regulatory submissions.
• Background within wealth management, private banking, asset management, brokerage or related sectors is preferred.
• Familiarity with DFSA inspections, thematic reviews or remediation programmes is advantageous.
• Exposure to UAE regulatory frameworks including SCA and UAE Central Bank regulations would be beneficial.
• Strong communication and stakeholder management skills.
• Ability to operate independently in a hands-on environment.
• Comfortable interacting with senior executives, Board members and regulators.
• Commercially minded with a pragmatic approach to risk and compliance.
• Degree qualified with relevant compliance, AML or governance certifications preferred.

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