Compliance Officer & MLRO - Asset & Investment Management

Capitex; United Arab Emirates; On-site; AED 200,000 - 300,000; Full time

Job summary

A DFSA-regulated investment firm in the DIFC seeks an experienced Compliance Officer & Money Laundering Reporting Officer. This role involves leading compliance and AML/CFT frameworks, ensuring adherence to DFSA standards, and conducting internal compliance reviews. The ideal candidate should have 4-8 years of compliance experience within regulated environments, strong analytical skills, and knowledge of DFSA rulebooks. Professional certifications like CAMS, ICA, or CFA are a plus. This position offers a full-time opportunity in Dubai.

Qualifications

• 4–8 years of compliance experience in regulated environments.
• Strong knowledge of AML/CFT obligations.
• Prior experience as CO/MLRO in a DFSA-regulated firm.

Responsibilities

• Maintain the compliance framework according to DFSA rulebooks.
• Act as the appointed MLRO.
• Lead internal compliance reviews and risk assessments.

Skills

Compliance experience

Knowledge of DFSA rulebooks

Analytical skills

Communication skills

Education

Professional certifications such as CAMS, ICA, CFA

Job description

About the Opportunity

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.

Location: Dubai International Financial Centre (DIFC) – Employment Type: Full-Time – Seniority: Mid‑Senior Level

Key Responsibilities

Regulatory Compliance (DFSA Focus)

• 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.

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.