Alpaca - Head of Compliance & MLRO (UAE)

• Establish and lead a “compliance-by-design” framework that keeps Alpaca’s twin ADGM licences, Category 3A (Dealing in Investments as Principal/Agent) and Category 3B (Providing Custody), in pristine regulatory standing while we scale a high-velocity, API-driven brokerage for both traditional securities and virtual assets. • Governance: Chair the internal Compliance Committee and deliver quarterly reports to the Board. • Governance: • Regulatory inventory and policies: Keep a live register of all FSRA rules (GEN, COBS, PRU, AML, Virtual-Asset Guidance) and update policies within 10 days of any FSRA circular. • Regulatory inventory and policies: • AML / CFT & MLRO: Own the AML/CFT programme, conduct annual business-risk assessments, file Suspicious Activity Reports, and ensure full “Travel Rule” compliance for VA transfers. • AML / CFT & MLRO: • Virtual-asset controls: Maintain the Accepted Virtual Asset list, oversee blockchain-analytics, and ensure stablecoin/FRT activity meets the latest FSRA requirements. • Virtual-asset controls: • Monitoring & testing: Run a risk-based monitoring plan, complete thematic reviews, track remedial actions, and store evidence for FSRA inspections.Reg-tech and automation: Specify and integrate KYC/AML engines, Travel-Rule messaging, sanctions screening, and trade-surveillance tools that plug into Alpaca’s APIs.Reporting & liaison: File all periodic and ad-hoc FSRA returns on time; act as Alpaca’s single point of contact for onsite reviews and enforcement queries.Training & CPD: Deliver annual AML and rules refreshers; keep 100 % of staff current on CISI/FSRA CPD and maintain logs for 6 years.Incident and breach management: Maintain the breach register, notify FSRA within required timelines, and oversee remediation to closure. • Monitoring & testing: Run a risk-based monitoring plan, complete thematic reviews, track remedial actions, and store evidence for FSRA inspections. • Reg-tech and automation: Specify and integrate KYC/AML engines, Travel-Rule messaging, sanctions screening, and trade-surveillance tools that plug into Alpaca’s APIs. • Reporting & liaison: File all periodic and ad-hoc FSRA returns on time; act as Alpaca’s single point of contact for onsite reviews and enforcement queries. • Training & CPD: Deliver annual AML and rules refreshers; keep 100 % of staff current on CISI/FSRA CPD and maintain logs for 6 years. • Incident and breach management: Maintain the breach register, notify FSRA within required timelines, and oversee remediation to closure. • What We Look For in You (Job Requirements): • Education / Professional status: Bachelor’s in Law, Finance or Business PLUS a recognised compliance credential (e.g., ICA, ACAMS, CISI Global Financial Compliance). • Education / Professional status • Professional certification: UAE Financial Rules & Regulations exam (CISI/ADGM Academy) • Professional certification: • Professional certification: CISI Global Financial Compliance (or equivalent) • Experience: ≥ 7 years in compliance/AML at a broker-dealer, custodian or VASP, with ≥ 3 years in a senior regulated capacity; clean audit / enforcement record.