Deputy Regulatory Compliance Officer - ADGM

Responsibilities

• Establish, maintain, and monitor a compliance framework to ensure that the firm meets all applicable ADGM and FSRA regulations, including those under MIR, GEN, COBS, PRU, and the AML Rulebook.
• Review and advise on policies, procedures, controls, and governance arrangements to ensure regulatory alignment and support a culture of compliance across the firm.
• Act as the principal point of contact with the FSRA for all compliance-related matters and lead the firm’s response to regulatory audits, RFIs, and inspections.
• Prepare and submit all necessary regulatory returns, notifications, and periodic reports as required under the rules and/or by the regulator.
• This is a Controlled Function that must be approved by the FSRA under GEN 5.4.1.
• The Deputy CO must be independent of business lines, have sufficient authority, resources, and direct access to senior management and the board.
• The individual must meet the fit and proper requirements under GEN 5.5.1 and has personal liability for regulatory breaches in their areas of responsibility.

Requirements

• 10 years of experience in regulatory and compliance roles within financial markets, cryptocurrency exchanges, and stock exchanges.
• Strong knowledge of risk and compliance frameworks, with experience working alongside regulators. Familiarity with FSRA rules is a plus.
• Technical expertise in surveillance tools and related technologies.