Location: Dubai, UAE
About Our Client
We are hiring on behalf of our Asset Management client for a Legal & Compliance Manager and Money Laundering Reporting Officer (MLRO) based in Dubai.
Our client is seeking an experienced legal and compliance professional with strong expertise in asset management regulations, financial services compliance, and regulatory frameworks, particularly within the DIFC and DFSA environment. This is an excellent opportunity for a highly skilled individual to join a growing organisation and play a key role in ensuring strong governance, regulatory compliance, and risk management standards.
Reporting To
General Counsel
The Opportunity
The successful candidate will be responsible for overseeing legal, regulatory, and compliance matters across the business, supporting the organisation in maintaining compliance with applicable regulatory requirements while providing guidance on legal documentation, governance frameworks, and operational compliance.
The ideal candidate will have extensive experience within an asset management firm, investment management environment, or a law firm supporting asset management clients, with proven exposure to DFSA regulations and fund structures.
Key Responsibilities
- Manage and support legal, regulatory, and compliance activities relating to various fund structures, including Luxembourg, Cayman Islands, and DIFC regimes.
- Ensure compliance with financial services regulatory requirements, particularly those governed by the Dubai Financial Services Authority (DFSA).
- Support the development and maintenance of key compliance frameworks, including:
- Regulatory Business Plans
- Compliance Manuals
- Compliance Monitoring Programmes
- Anti-Money Laundering (AML) frameworks
- Maintain strong working relationships with regulatory stakeholders and key contacts within the DFSA.
- Draft, review, negotiate, and provide legal support on a wide range of agreements and corporate documentation, including:
- Fund and company documentation
- Articles of Association
- Offering Memorandums
- Custody and Administration Agreements
- Auditor Engagement Agreements
- Investment Management and Investment Advisory Agreements
- Introducer, Distribution, and Placement Agreements
- Non-Disclosure Agreements
- Account Opening and client onboarding documentation
- Employment Agreements
- Share Purchase Agreements (SPA), Shareholders Agreements (SHA), Joint Venture, and Strategic Cooperation Agreements
- Support corporate governance activities, including preparation and management of:
- Board meeting minutes
- Director resolutions
- Board documentation
- Senior Management Committee materials
- Act as a key advisor on compliance, governance, regulatory matters, and risk management initiatives.
- Support the implementation and ongoing enhancement of AML and compliance controls.
Requirements
The successful candidate will have:
- A minimum of 7 years’ experience in legal, regulatory, and compliance roles within an asset management firm or investment management organisation.
OR
- A minimum of 9 years’ experience within a law firm, with a primary focus on advising asset management firms on legal, regulatory, and compliance matters.
Additional requirements include:
- Strong knowledge and practical experience with DIFC and DFSA regulatory frameworks (highly preferred).
- Experience working with international fund structures, particularly Luxembourg and Cayman Islands regimes.
- Strong understanding of AML, compliance monitoring, regulatory obligations, and corporate governance.
- Proven experience drafting and negotiating complex commercial and investment-related agreements.
- Excellent stakeholder management and communication skills.
- Ability to work independently in a fast-paced financial services environment.
Language Requirements
- Excellent written and spoken English is essential.
This is a fantastic opportunity for an experienced Legal & Compliance professional to join a reputable Asset Management organisation and contribute to a strong regulatory and governance culture.