Compliance Officer and MLRO

Client of Robert Walters

Develop, implement, and maintain compliance policies and procedures in line with FSRA Rulebooks.

• Monitor ongoing compliance with FSRA obligations related to fund management and cross-border marketing.
• Act as main liaison with the FSRA for inspections, audits, thematic reviews and license renewals.
• Serve as the MLRO with direct accountability for the AML framework under FSRA AML Rulebook.
• Design and deliver compliance and AML training tailored to employees roles and regulatory risk exposure.
• Provide regulatory guidance to portfolio managers, operational staff, and service providers (e.g. fund administrators).
• Review and advise on fund structures, delegation arrangements (e.g. SAI), and oversight of outsourced providers.

The Compliance Officer MLRO possess excellent experience in regulatory compliance within asset management or a licensed financial institution. You will have in-depth knowledge of FSRA Rulebook (COBS, GEN, CIR, AML), a strong understanding of fund governance, NAV processes, and risk-based client onboarding frameworks and experience in preparing for or responding to regulatory inspections. You will ideally currently hold authorised status with FSRA/DFSA . You will ideally have held experience within a category 3C firm and have exposure to alternative investment.