Head of Compliance & Risk

Compliance Recruitment Solutions; Abu Dhabi; Hybrid; AED 200,000 - 300,000; Full time

Job summary

A leading Broker Dealer in Abu Dhabi is seeking a Head of Compliance & Risk to ensure compliance and risk oversight per ADGM/FSRA rules. Candidates should have at least 10 years of experience and must have held UK SMF 16 or CF 10 in investment banking or securities trading. The role offers a hybrid work model, tax-free salary, and additional benefits including relocation package and medical coverage. Ideal for experienced professionals looking for a dynamic environment in the UAE.

Benefits

Tax-free salary

Housing allowance

Private medical

Full relocation package

Annual return flights to the UK

Qualifications

• At least 10 years of experience in Financial Services Compliance.
• Previously held UK SMF 16 or CF 10.
• Strong product knowledge across Equities, Fixed Income, FX, and Funds.

Responsibilities

• Serve as the firm’s designated Head of Compliance and Risk under FSRA.
• Maintain compliance with FSRA Rulebooks and regulations.
• Establish and oversee the firm-wide Risk Management Framework.
• Provide compliance oversight across multiple asset classes.
• Report regularly to the Board and relevant committees.

Skills

Financial Services Compliance

Regulatory Oversight

Risk Management

Equities

Fixed Income

Foreign Exchange (FX)

Settlement Processes

Education

Graduate or relevant professional qualifications (ICA, CISI, ACAMS)

Job description

EXCLUSIVE: HEAD OF COMPLIANCE & RISK – MUST HAVE HELD UK SMF 16 (OR CF10) IN INVESTMENT BANKING OR SECURITIES TRADING

Ref:4167D2

We are exclusively recruiting for a leading Broker Dealer in Abu Dhabi, which offers multi asset trading globally, custody solutions & prime brokerage, to Institutions & Hedge Funds as well as Family Office & HNWI’s. They are seeking a Head of Compliance & Risk to act as the firm’s approved senior executive responsible for compliance and risk oversight under ADGM/FSRA rules, with direct accountability to the Board and the FSRA, whist detailed duties will include;

• Act as the firm’s designated Head of Compliance and Risk under FSRA requirements.
• Maintain compliance with FSRA Rulebooks, ADGM regulations, AML/CFT obligations, Market Abuse and Conduct of Business rules.
• Serve as primary liaison with the FSRA, managing regulatory submissions, enquiries, inspections and investigations.
• Establish and oversee the firm-wide Risk Management Framework.
• Provide compliance and risk oversight across Equities, Fixed Income, FX and Funds, including settlement processes.
• Report regularly to the Board and relevant committees.

You should be a graduate (or else have ICA, CISI, ACAMS or professional qualifications) with at least 10 years experience in Financial Services Compliance and previously held SMF 16 in the UK (or CF 10 previously) with extensive experience dealing with regulators including enquiries. You should have strong product knowledge across Equities, Fixed Income, FX and Funds and experience of equity and fixed income settlement processes gained from a sell side trading firm (a similar brokerage or division of investment bank etc). NB As FRSA rules are very similar to FCA regulations no local knowledge needed (and as no retail clients, AML responsibilities are limited).

Although the main office are in Abu Dhabi the firm operates a 3d pw hybrid policy so it would easy to live in Dubai and commute on those days (around one hour from south of Dubai) whilst benefits include tax-free salary, housing allowance, private medical, full relocation package and annual return flights to the UK.

NB We have been recruiting in the UAE since 2005 whilst I have visited both Abu Dhabi & Dubai many times, so very happy to discuss lifestyle including cost of living with suitable applicants (and explain the onshore/offshore regulatory structures if not yet familiar with) So, if that sounds like you, then please send your details to our MD, David Symes FCA, at [e-mail] (including contact no) however please note we cannot reply to all applications so only successful applications will be contacted (although under no circumstances are your details ever passed on without your specific permission).

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

EXCLUSIVE HEAD OF COMPLIANCE RISK MUST HAVE HELD UK SMF 16 OR CF10 IN INVESTMENT BANKING OR SECURITIES TRADING • Abu Dhabi, United Arab Emirates