Overview

Regulatory Compliance Officer Jobs in Abu Dhabi Emirate, United Arab Emirates at Confidential Careers

Title: Regulatory Compliance Officer

Company: Confidential Careers

Location: Abu Dhabi Emirate, United Arab Emirates

Role: Regulatory Compliance Officer

Department: Compliance

Reports to: Head of Regulatory Compliance

Location: Abu Dhabi Global Market

Firm Type: ADGM Category 1 Retail Client Digital Bank

Role Purpose

The Regulatory Compliance Officer will support the implementation and ongoing operation of the Bank’s regulatory compliance framework, with particular focus on compliance monitoring, regulatory reporting/returns support, compliance registers, developing compliance management information, first line review of marketing documents and contributing to the review and/or development of compliance policies and procedure.

The role holder will also support the Compliance Department in identifying practical opportunities to improve processes through technology, automation and responsible use of AI tools. The role is suited to a compliance professional with 3–5 years’ experience across regulatory compliance and AML within ADGM, DIFC or a comparable regulated financial services environment.

Duties & Responsibilities

Compliance Monitoring and Assurance

  • Support the implementation of the Bank’s Compliance Monitoring and Assurance Programme.
  • Conduct scheduled compliance monitoring reviews in line with the annual compliance plan.
  • Test the effectiveness of key regulatory controls across customer onboarding, disclosures, complaints, conduct risk, financial promotions, outsourcing, record keeping and governance processes.
  • Document findings clearly, agree remedial actions with control owners and track actions to closure.
  • Escalate material control weaknesses or overdue actions to the Head of Regulatory Compliance.

Regulatory Returns and Filings

  • Maintain the regulatory reporting calendar
  • Support the timely preparation, review and submission of regulatory returns and notifications to the FSRA and other relevant authorities.
  • Coordinate internally with Finance, Risk, Operations, AML and Senior Management to obtain required data.
  • Maintain evidence of submissions, approvals and supporting documentation.

Compliance Registers

  • Maintain accurate and up-to-date compliance registers, including:
  • Gifts and Entertainment Register
  • Personal Account Dealing Register
  • Conflicts of Interest Register
  • Complaints Register
  • Breaches and Incidents Register
  • Regulatory Correspondence Register
  • Training and Attestation Register
  • Monitor entries for trends, overdue actions and potential escalation p
  • Prepare periodic register summaries for Compliance MI.

Compliance Management Information

  • Prepare the monthly Compliance Management Information Pack
  • Collate and analyse compliance metrics, including monitoring outcomes, regulatory filings, breaches, complaints, training completion, register activity, policy attestations and outstanding actions
  • Identify themes, trends and emerging risks for management attention
  • Assist with preparation of the Quarterly Compliance Report for senior management, committees and the Board

Marketing and Financial Promotions Review

  • Conduct first-level Compliance review of marketing communications, website content, customer communications and campaign materials
  • Assess materials against applicable regulatory requirements, internal policies, customer fairness standards and approval procedures
  • Maintain records of reviewed materials, comments, approvals and version control
  • Escalate higher-risk or unclear matters to the Head of Regulatory Compliance before release

AML/Financial Crime

  • Provide support on AML, sanctions, CDD, transaction monitoring and onboarding matters where required
  • Assist with compliance reviews involving AML/CTF controls, customer due diligence and financial crime governance
  • Escalate potential AML/CTF, sanctions or conduct concerns to the appropriate Compliance/AML senior manager

Ideal Candidate Profile

  • Experience3–5 years’ experience in regulatory compliance, AML or financial crime compliance.
  • Experience within ADGM, DIFC or another well-regulated financial services jurisdiction
  • Exposure to banking, digital banking, fintech, payments, wealth management or investment services would be advantageous
  • Practical experience with compliance monitoring, regulatory reporting, compliance registers, policy/procedure drafting and management information
  • Good understanding of AML, CDD, sanctions, complaints handling, conduct risk and financial promotions controls
  • Familiarity with using AI, automation tools, workflow systems, dashboards or productivity technology to improve compliance processes would be advantageous

Qualifications

  • Compliance certification preferred, such as ICA, CISI, ACAMS or equivalent
  • Willingness to undertake further professional compliance, AML or technology-related training

Skills and Competencies

  • Strong written English and ability to draft clear compliance reports
  • Good analytical skills and ability to identify control weaknesses
  • .High attention to detail and strong record-keeping discipline
  • Ability to work with Business, Operations, AML, Risk, Finance and Technology teams
  • Practical understanding of compliance risk in a retail digital banking environment
  • .Good judgement, professional skepticism and willingness to escalate issues
  • Organised, deadline-driven and comfortable managing recurring reporting obligations
  • Technologically curious, with the ability to identify practical improvements to compliance workflows
  • Responsible and risk-aware in the use of AI and technology, particularly in relation to confidentiality, data protection and information security.

Preferred Skillset

  • The preferred candidate should be a developing regulatory compliance professional with solid AML awareness, strong documentation skills and practical experience in a regulated financial services environment
  • .The ideal profile is someone who has worked in ADGM or DIFC compliance, understands how regulated firms evidence compliance, and is comfortable handling operational compliance tasks while developing into a broader regulatory compliance specialist

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