Head of Compliance & Risk

Compliance Recruitment Solutions; Abu Dhabi; On-site; AED 789,000 - 988,000; Full time

Job summary

A leading Broker Dealer in Abu Dhabi is looking for a Head of Compliance & Risk. This pivotal role requires a minimum of 10 years of experience in financial services compliance, strong regulatory liaison skills, and significant product knowledge in Equities, Fixed Income, FX & Funds. Offering a salary of £160K - £200K tax-free, along with a hybrid working policy, this position allows for commuting from Dubai. Benefits include a housing allowance, discretionary bonus, private medical coverage, and a full relocation package.

Benefits

Tax-free salary

Discretionary bonus

Housing allowance

Private medical

Relocation package

Annual family return flights to the UK

Qualifications

• At least 10 years of experience in financial services compliance.
• Experience in liaising with regulators and handling enquiries.
• Strong product knowledge across Equities, Fixed Income, FX & Funds.

Responsibilities

• Act as the firm’s designated Head of Compliance and Risk.
• Maintain compliance with FSRA Rulebooks and regulations.
• Serve as primary liaison with the FSRA for regulatory matters.
• Establish and oversee the firm‑wide Risk Management Framework.

Skills

Financial services compliance

Regulatory liaison

Risk management

Product knowledge across Equities, Fixed Income, FX & Funds

Education

Graduate or ICA/CISI/ACAMS qualification

Job description

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

Ref:4167D

£160K - £200K Tax Free (inc Housing Allowance) + Bonus & Relocation ABU DHABI/DUBAI

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 UK professional qualifications) with at least 10 years experience in financial services compliance and have held SMF 16 in the UK (or CF 10 previously) with extensive experience liaising with regulators and handling enquiries. You should have strong product knowledge across Equities, Fixed Income, FX & Funds and experience of equity and fixed income settlement processes (with basic knowledge of stock lending) whether gained from a buy or sell side firm.

Also 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 is in Abu Dhabi the firm operates a 3‑ Wealth‑day hybrid policy so it would be easy to live in Dubai and commute on those days (around one hour from south of Dubai) պատճառ benefits include tax‑free salary (worth at least £200K UK Gross), discretionary bonus, housing allowance, private medical, full relocation package and annual family 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 noteCommerce (??? ) 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.