Head of Regulatory Setups (JAP Client)

Job Title: Head of Regulatory Setups
Reports to: Chief Executive Officer
Location: Dubai, UAE

Job Purpose
The Head of Regulatory Setups will play a pivotal role in driving the firm’s strategic focus on building a successful business by: (1) assisting client entities in obtaining regulated financial services status in ADGM and DIFC, and (2) providing fractional outsourced services, including MLRO and Compliance Officer roles, post-establishment. This position requires in-depth knowledge of the UAE’s regulatory frameworks, including DIFC and ADGM, along with the administrative and licensing processes. The ideal candidate will engage with colleagues and clients as an SME, lead the development of templated and bespoke client documentation, and demonstrate strong experience as an outsourced MLRO or Compliance Officer. A client-centric, commercial, and results-driven mindset is essential.

Duties and Responsibilities
Regulatory Compliance Support: Facilitate client companies in obtaining various authorizations (e.g., Category 3, Category 4) while ensuring strict adherence to relevant regulations and standards. This includes but is not limited to:

1. Investment Deal Arrangement: Facilitate the arrangement of investment deals, including advising on financial products, custody arrangements, and managing insurance intermediation and insurance management services.
2. Alternative Trading System Operation: Oversee the operation of alternative trading systems, ensuring compliance with regulatory requirements and efficient system management.
3. Fund Administration & Trust Services: Provide fund administration and trust services (excluding acting as a trustee for express trusts) while ensuring legal and regulatory compliance.
4. Money Services Management: Manage money services with a focus on money transmission, arranging credit, advising on credit, and operating crowdfunding platforms.
5. Company Documentation, Policy & Procedure Development: Create templated documentation for regulatory set-ups and ongoing services, including proposals, engagement letters, and collateral materials.
6. Regulatory Business Plans (RBPs) and Policy Development: Oversee the development and refinement of RBPs and key policy materials, providing both technical and practical input.
7. Regulatory Liaison: Coordinate with regulators to efficiently manage the application process, ensuring timely and successful authorizations for clients.
8. MLRO and Compliance Officer: Serve as the MLRO and/or Compliance Officer for client companies as needed, ensuring full compliance with regulatory standards.
9. Client Engagement: Develop and deliver compelling presentations to potential clients, showcasing the firm’s regulatory set-up expertise.
10. Collaboration: Work flexibly with company staff and external contractors to secure client mandates for regulatory set-ups and ongoing services.
11. Leadership and Mentorship: Mentor the regulatory set-ups team, fostering a culture of excellence and client-centric service delivery.
12. Training: Design and implement in-house training programs for staff and contractors, enhancing their knowledge of regulatory set-ups and services.

Qualifications and Experience:
Minimum of 7 years of relevant experience, ideally gained in a consultancy or corporate service provider (CSP) environment. Strong understanding of international regulatory standards and cross-border compliance issues. Experience in designing and implementing transaction monitoring systems. Familiarity with regulatory databases and compliance management systems. Educational background in finance, law, business administration, or related fields. Professional certifications such as CAMS, CFE, CPA, or equivalent are advantageous. DFSA/ADGM Authorized MLRO certification is desirable but not mandatory.