Legal & Compliance Operations Manager

J. Awan & Partners

Duties and Responsibilities/strong>

• Review, draft, and maintain a range of commercial and operational agreements including vendor contracts, technology agreements, supplier arrangements, and standard institutional documentation, escalating complex or material matters to senior leadership or external counsel as appropriate.
• Support the management of exchange rulebook and clearing house rulebook documentation, maintaining version control and flagging required updates.
• Assist in the preparation and review of member agreements, participant documentation, and client-facing legal materials.
• Coordinate and manage relationships with external legal counsel in ADGM and other relevant jurisdictions, ensuring instructions are clear, timely, and cost-effective.
• Maintain a contracts register and manage the lifecycle of commercial agreements including renewals, amendments, and terminations.
• Support corporate governance administration for the ADGM entity, including preparation of board resolutions, maintenance of constitutional documents, and tracking of regulatory authorisation conditions.
• Provide legal operational support on data protection, privacy, and cybersecurity obligations under applicable ADGM law, escalating material issues to senior leadership.
• Monitor legal and regulatory developments across ADGM and the broader GCC, summarising implications for the business and escalating material changes to the Global Head of Compliance.
• Assist in managing any disputes, claims, or regulatory investigations that may arise, coordinating with external counsel and senior leadership as required.

Day-to-Day Compliance Operations/strong>

• Execute and maintain compliance processes and controls across the ADGM entity in line with frameworks established by the Global Head of Compliance.
• Monitor ongoing regulatory requirements applicable to the RIE and RCH authorisations and support timely fulfilment of obligations.
• Maintain compliance registers, logs, and records including breach registers, conflicts registers, and regulatory correspondence.
• Support the preparation and submission of regulatory reports and periodic filings to the FSRA, under the direction of the Global Head of Compliance.
• Assist in coordinating regulatory examinations, inspections, and enquiries, acting as a local point of contact and liaison.
• Track and escalate regulatory deadlines, action items, and compliance deliverables to ensure nothing falls through the gaps.