Compliance Officer

J. Awan & Partners

Job Purpose

Our client is seeking an experienced Compliance Officer with strong AML/CTF and fund management compliance expertise to join their leading fund management and investment advisory firm in the Abu Dhabi Global Market (ADGM). The successful candidate will support the firm s regulatory obligations, with a particular focus on anti-money laundering (AML), counter-terrorist financing (CTF), and fund management compliance.

Duties and responsibilities

Regulatory & Licensing

• Ensure compliance with ADGM and FSRA regulations, particularly as they apply to fund managers and investment advisers.
• Maintain and update compliance manuals, policies, and procedures to reflect changes in regulation.
• Manage ongoing licensing obligations, including regulatory filings, annual returns, and notifications to the FSRA.
• Monitor regulatory developments affecting funds, asset management, and investment advisory activities.

AML / CTF Oversight

• Oversee the firm s AML/CTF framework, ensuring robust client onboarding, CDD/KYC, and ongoing monitoring processes.
• Investigate and escalate suspicious activities, preparing Suspicious Activity Reports (SARs) where required.
• Support or act as deputy to the MLRO, ensuring compliance with both UAE federal AML laws and ADGM rules.
• Conduct AML risk assessments across products, funds, and client segments.
• Deliver staff AML/CTF training and ensure awareness of sanctions regimes, including OFAC, UN, and UAE lists.

Fund & Investment Compliance

• Review fund structures, offering documents, and distribution arrangements for compliance with FSRA rules and global standards.
• Monitor investment restrictions, portfolio compliance, and trading activities to ensure adherence to fund mandates.
• Oversee conduct of business requirements, including financial promotions, investor disclosures, and suitability assessments.
• Support new fund launches, licensing variations, and regulatory approvals, advising on compliance implications.
• Work closely with portfolio managers and operations teams to ensure compliance is embedded in fund lifecycle activities.

Monitoring, Risk & Reporting

• Develop and implement a compliance monitoring program tailored to fund management risks.
• Conduct periodic reviews of AML processes, fund operations, and regulatory obligations.
• Report compliance and AML/CTF matters to senior management and the board, preparing Management Information (MI) reports.
• Coordinate with external auditors, internal audit, and regulatory inspections.
• Track and close out remedial actions arising from audits or regulatory findings.

Training & Culture

• Deliver regular training on AML, conduct, conflicts of interest, market abuse, and ethical standards.
• Promote a culture of compliance and integrity across the business.
• Serve as a trusted adviser to front office, operations, and senior management on regulatory risks.

Skills and Experience

Experience (essential to any successful application)

• 3 5 years experience in compliance/AML within asset management, fund management, or investment advisory firms.
• Solid knowledge of ADGM/FSRA rules and UAE AML/CTF legislation.
• Demonstrated experience in fund compliance, investor onboarding, and AML/CTF risk management.
• Strong communication skills with ability to engage with regulators, senior stakeholders, and clients.
• Based in Abu Dhabi, with experience working in regulated financial institutions in the UAE.

Qualifications

• Bachelor s degree in Law, Finance, Business, or a related field.
• Professional certification (ICA, CAMS, or equivalent) strongly preferred.

Skills

• Strong oral and written communication skills, including effectively interacting at all levels within the firm and regulators.
• Motivated self-starter with demonstrable ability to work independently and problem solve.
• Proven ability to build partnerships and collaborate with team members and regulators.
• Demonstrable organizational and time management skills.
• Ability to work well in a fast-paced environment.
• Ability to motivate and lead employees and hold them accountable.
• Passionate about investing and our impact.