Compliance Officer & MLRO - Asset & Investment Management

Compliance Officer & MLRO – DFSA Regulated Firm (Asset & Investment Management) Location: Dubai International Financial Centre (DIFC) Employment Type: Full-Time Seniority: Mid–Senior Level 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. The successful candidate must have strong experience in asset management, investment management, private equity, or related financial services, with a solid understanding of DFSA regulations and DIFC regulatory expectations. 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.