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Establish, maintain, and monitor a compliance framework to ensure that the firm meets all applicable ADGM and FSRA regulations, including those under MIR, GEN, COBS, PRU, and the AML Rulebook.

Review and advise on policies, procedures, controls, and governance arrangements to ensure regulatory alignment and support a culture of compliance across the firm.

Act as the principal point of contact with the FSRA for all compliance-related matters and lead the firm’s response to regulatory audits, RFIs, and inspections.

Prepare and submit all necessary regulatory returns, notifications, and periodic reports as required under the rules and/or by the regulator.

This is a Controlled Function that must be approved by the FSRA under GEN 5.4.1.

The Deputy CO must be independent of business lines, have sufficient authority, resources, and direct access to senior management and the board.

The individual must meet the fit and proper requirements under GEN 5.5.1 and has personal liability for regulatory breaches in their areas of responsibility.