A regulator-approved Compliance Officer for your firm — covering both DFSA Compliance Officer (DIFC) and FSRA Compliance Officer (ADGM) roles. End-to-end compliance leadership without the cost of a full-time hire.
The Compliance Officer is the senior person responsible for your firm's overall compliance programme — not just AML, but the full spectrum of rulebook compliance, regulator reporting, breach management and committee oversight.
For DFSA and FSRA regulated firms, the CO must be named with the regulator and is typically an Authorised Individual. We provide outsourced COs for firms that don't have the volume to justify a full-time hire.
The Compliance Officer (CO) is one of the four mandatory Authorised Individual functions under the DFSA GEN Rulebook (for DIFC firms) and the FSRA GEN Rulebook (for ADGM firms). The CO is responsible for ensuring the firm complies with its regulatory rulebook on an ongoing basis — separate from, but often combined with, the MLRO function.
The DFSA and FSRA frameworks are similar but not identical. DFSA Conduct of Business (COB), GEN, AUT and PRU modules apply to DIFC firms. FSRA's equivalent rulebook modules — COBS, GEN, MIR — apply to ADGM. A Compliance Officer covering both jurisdictions needs deep familiarity with both rulebooks. Our team includes individuals approved by both DFSA and FSRA, so we can serve firms with operations in either or both centres.
Compliance testing against your rulebook — sample testing of client onboarding, transactions, marketing, training records, conflicts management.
All periodic regulatory submissions — DFSA prudential returns, AML quarterly reports, FSRA capital returns, conduct returns, ad hoc notifications.
Attendance at your governance meetings (audit committee, risk committee, board). Compliance MI pack for each meeting. Action tracking.
First point of contact for the DFSA or FSRA. We attend regulator meetings, respond to information requests, manage thematic reviews and supervisory inspections.