Compliance Officer jobs in United States

We are seeking an experienced Senior Compliance Officer to join our team, registered with the Dubai Financial Services Authority (DFSA). In this key role, you will ensure the firm's compliance with DFSA regulations, act as the primary point of contact with regulatory bodies, and play a leading role in the drafting of Regulatory Business Plans (RBP's) for clients seeking regulatory licenses for both DIFC and ADGM entities. Your expertise will be crucial in managing compliance risks and maintaining a robust governance framework.

Key Responsibilities:

• Serve as the DFSA-registered Compliance Officer, ensuring full compliance with DFSA rules, regulations, and reporting obligations.
• Oversee the development, drafting, and submission of Regulatory Business Plans (RBPs) for clients applying for DIFC or ADGM regulatory licenses, ensuring adherence to regulatory standards.
• Implement and maintain the firm's compliance framework, ensuring compliance in all business operations.
• Lead compliance audits and ensure timely reporting to the DFSA and other regulatory authorities.
• Develop and implement policies related to Anti-Money Laundering (AML), Know Your Customer (KYC), and other regulatory requirements specific to DFSA.
• Provide expert advice to senior management on compliance risks, regulatory changes, and best practices.
• Conduct internal training programs to ensure that all staff are aware of DFSA regulatory obligations and internal compliance policies.
• Manage compliance investigations and implement corrective actions when necessary.
• Build and maintain strong relationships with the DFSA, ensuring timely submission of regulatory filings and communications.

Qualifications:

• Bachelor's degree in Law, Finance, or a related field (Master's degree preferred).
• DFSA-authorized Compliance Officer with a minimum of 3 years of experience in a compliance role within the DIFC or similar regulatory environment.
• Have the knowledge and experience in drafting and submitting Regulatory Business Plans (RBPs) for DIFC/ADGM regulatory licenses.
• Strong understanding of DFSA regulations, regulatory frameworks, and reporting requirements.
• Certification in compliance (CAMS, ICA, or equivalent) is highly advantageous.
• Excellent leadership, communication, and problem-solving skills, with a proven ability to manage compliance in a complex organization.

Application Process:

Please submit your resume, cover letter, and any relevant certifications to [Confidential Information]

This is a unique opportunity to lead compliance for a DFSA-regulated entity, with additional responsibilities in drafting Regulatory Business Plans. We offer competitive compensation, a clear path for professional development, and the chance to shape compliance strategies within a growing organization.