Compliance Officer & MLRO

Client of Capitex

Employer Active

Posted 12 hrs ago

Experience

4 - 10 Years

Job Location

Dubai - United Arab Emirates

Education

Any Graduation

Nationality

Any Nationality

Gender

Not Mentioned

Vacancy

1 Vacancy

Job Description

Roles & Responsibilities

Key Responsibilities

  • Maintain and oversee the compliance framework in accordance with DFSA Rulebooks, including GEN, AML, COB, PIB, and CIR as relevant.
  • Ensure the firm s policies, procedures, and governance documents meet DFSA standards.
  • Prepare, review, and submit periodic regulatory returns, notifications, and filings to the DFSA.
  • Track regulatory changes and implement required updates across the business.

MLRO Responsibilities

  • Act as the firm s appointed MLRO, responsible for all AML/CFT obligations under DFSA and UAE Federal requirements.
  • Oversee KYC/CDD, onboarding risk assessments, and ongoing monitoring of clients and counterparties.
  • Conduct investigations and file STR/SAR reports to the UAE FIU as required.
  • Deliver AML/CFT and financial crime training across the firm.

Monitoring, Assurance & Governance

  • Develop and execute the firm s Compliance Monitoring Plan (CMP).
  • Lead periodic internal compliance reviews and risk assessments.
  • Conduct due diligence on investors, service providers, and counterparties.
  • Provide compliance and AML guidance to senior management and committees.
  • Liaise with DFSA supervisors, internal auditors, and external consultants.

Desired Candidate Profile

Requirements

  • 4 8 years of compliance experience within asset management, investment management, private equity, or similar regulated environments.
  • Strong knowledge of DFSA rulebooks, DIFC regulatory processes, and AML/CFT obligations.
  • Prior experience as CO/MLRO or Deputy CO/MLRO in a DFSA-regulated firm is highly desirable.
  • Ability to design, implement, and maintain compliance frameworks and monitoring plans.
  • Strong analytical, communication, and stakeholder management skills.
  • Professional certifications such as CAMS, ICA, CFA, or similar are a plus.

What We re Looking For

  • A proactive and commercially aware compliance professional.
  • Someone confident working in a boutique or mid-sized investment environment.
  • An individual capable of balancing regulatory expectations with business practicality.

Company Industry

Department / Functional Area

Keywords

  • Compliance Officer & MLRO

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Client of Capitex

A DFSA-regulated asset and investment management firm in the DIFC is seeking an experienced Compliance Officer & Money Laundering Reporting Officer (CO/MLRO) to lead its compliance and AML/CFT framework.

https://apply.workable.com/capitex/j/69A145B8EE/

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