Head of Regulatory Set Ups

The Head of Regulatory Setups will play a pivotal role in establishing and executing the firm’s strategic focus by:

1. Assisting client entities in obtaining regulated financial services entity status in ADGM and DIFC.
2. Providing fractional outsourced services to those entities post-establishment (MLRO and Compliance Officer).

This role demands comprehensive knowledge of UAE, DIFC, and ADGM regulatory and administrative (licensing) regimes. It requires the ability to serve as a subject matter expert (SME), collaborate with clients and colleagues, and lead the development and delivery of both templated and bespoke client documentation. Prior experience as an outsourced MLRO or Compliance Officer is highly desirable, along with a client-centric, commercially focused, and results-driven approach. While originating new business is not a primary focus, the role holder will support technical discussions in prospect meetings.

This position offers the opportunity to shape and grow a key area of the firm's business.

Key Responsibilities

• Regulatory Compliance Support: Facilitate client companies in obtaining various authorizations, including:

  
  
  • Investment Deal Arrangement: Advising on financial products, arranging custody, and managing insurance services.
  • Alternative Trading System Operation: Ensuring regulatory compliance in managing alternative trading systems.
  • Fund Administration & Trust Services: Overseeing fund administration and trust services (excluding acting as a trustee for express trusts).
  • Money Services Management: Managing money transmission, credit arrangements, and crowdfunding platforms.

• Documentation, Policy & Procedure Development:

  
  
  • Create templated documentation for regulatory setups, including proposals, engagement letters, and collateral.
  • Oversee the development of Regulatory Business Plans (RBPs), policies, and procedures, providing technical and practical input.

• Regulatory Liaison:
  Work closely with regulators to streamline application processes, ensuring timely authorizations for clients.

  
  

• Acting as MLRO/Compliance Officer:
  Serve in these capacities for client companies as required, ensuring compliance with regulatory standards.

  
  

• Client Engagement:
  Participate in prospect meetings and presentations to demonstrate regulatory setup capabilities.

  
  

• Collaboration:
  Work with internal staff and external contractors to secure mandates for regulatory setups and ongoing services.

  
  

• Leadership and Mentorship:
  Mentor the regulatory setups team, fostering excellence, resilience, and a client-focused mindset.

  
  

• Training:
  Design and deliver in-house training programs to enhance staff and contractor understanding of regulatory setups.

  
  

Qualifications and Experience

• Minimum 7 years of experience, ideally in a consultancy or corporate service provider environment.
• Strong understanding of international regulatory standards and cross-border compliance issues.
• Experience with transaction monitoring rules and systems.
• Familiarity with regulatory databases and compliance management systems.
• Educational background in finance, law, business administration, or a related field. Professional certifications (CAMS, CFE, CPA, etc.) are advantageous.
• DFSA/ADGM Authorized MLRO certification is desirable.

Key Skills

• Strong client-facing skills with the ability to simplify complex regulatory concepts.
• Commercial acumen, aligning regulatory strategies with business objectives.
• Exceptional project management skills, with the ability to manage complex projects under tight deadlines.

This role provides the platform to contribute significantly to the firm’s growth and success in a dynamic regulatory environment.