About the Role
This position involves establishing, maintaining, and monitoring a compliance framework to ensure adherence to all applicable ADGM and FSRA regulations, including those under MIR, GEN, COBS, PRU, and the AML Rulebook. You will serve as the principal point of contact with the FSRA for all compliance-related matters and lead responses to regulatory audits, RFIs, and inspections. This role is designated as a Controlled Function and requires approval by the FSRA under GEN 5.4.1. The individual will need to maintain independence from business lines while having sufficient authority, resources, and direct access to senior management and the board, with personal liability for regulatory breaches in their areas of responsibility.
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Responsibilities
- Establish, maintain, and monitor a compliance framework to ensure compliance with ADGM and FSRA regulations.
- Review and advise on policies, procedures, controls, and governance arrangements to ensure regulatory alignment and promote a culture of compliance.
- Act as the principal point of contact with the FSRA on compliance matters and lead responses to regulatory audits, RFIs, and inspections.
- Prepare and submit all necessary regulatory returns, notifications, and periodic reports as required by the rules and/or regulator.
- Ensure compliance with the fit and proper requirements under GEN 5.5.1.
Requirements
- Minimum of 10 years of experience in regulatory and compliance roles within financial markets, cryptocurrency exchanges, and stock exchanges.
- Strong knowledge of risk and compliance frameworks and experience working alongside regulators; familiarity with FSRA rules is a plus.
- Technical expertise in surveillance tools and related technologies.
Why Join Us
- Shape the future of finance.
- Collaborate with world-class talent in a user-centric global organization with a flat structure.
- Tackle challenging projects in a fast-paced and innovative environment with autonomy.
- Thrive in a results-driven workplace with opportunities for career growth and continuous learning.
- Competitive salary and company benefits.
- Remote-first, work-from-home arrangement (may vary depending on the nature of the role and team).
This employer is committed to being an equal opportunity employer and believes that having a diverse workforce is fundamental to success.
By submitting a job application, you acknowledge that you have read the Candidate Privacy Notice. Note that artificial intelligence (AI) tools may be used to support parts of the hiring process, including reviewing applications and assessing responses. Final hiring decisions will be made by humans.
