Head of Compliance, Risk & Controls

Job Purpose:The Head of Compliance, Risk & Controls will be responsible for establishing and leading Al Liwan Group's independent second-line control function, ensuring the Group operates within all applicable regulatory requirements while maintaining a strong enterprise risk management and internal controls framework.As the first dedicated resource within the function, this is a hands-on leadership role responsible for building the Risk, Compliance & Controls function from the ground up. The successful candidate will establish the Group's governance, risk and compliance frameworks, develop policies and procedures, oversee day-to-day compliance operations, and recruit and develop the team required to support the Group's continued growth. Working closely with the Group Chief Executive Officer, Executive Leadership Team, Board Risk Committee and business heads, the Head of Compliance, Risk & Controls will act as a trusted adviser to the business while maintaining the independence expected of a second-line control function.Key ResponsibilitiesRisk, Compliance & Controls Strategy:Develop and implement the Group's Risk, Compliance & Controls strategy aligned with the Company's growth objectives and regulatory obligations.Establish the operating model, governance framework and annual roadmap for the function.Build the Risk, Compliance & Controls function from the ground up, including organisation structure, policies, procedures, controls and reporting.Recruit, develop and lead a high-performing team as the business continues to grow.Foster a culture of integrity, accountability and effective risk management across the Group.Enterprise Risk Management:Develop and implement the Group's Enterprise Risk Management Framework.Establish the Group's risk appetite and risk governance framework.Maintain the enterprise risk register and coordinate regular risk assessments across the business.Identify emerging strategic, operational, financial and regulatory risks and ensure appropriate mitigation plans are implemented.Produce regular risk reporting for the Executive Leadership Team and Board Risk Committee.Support business decision-making by providing practical, commercial risk advice.Compliance Operations & Regulatory Oversight:Develop and maintain the Group's compliance framework to ensure ongoing compliance with all applicable regulatory requirements.Oversee day-to-day compliance operations, including client onboarding, KYC, AML/CFT, customer due diligence and enhanced due diligence processes.Ensure sanctions screening, PEP screening and ongoing monitoring activities are completed in accordance with regulatory requirements.Oversee client risk ratings and ensure appropriate escalation and approval of higher-risk relationships.Coordinate regulatory submissions, reporting and ongoing engagement with regulators.Monitor regulatory developments and assess their impact on the business.Maintain all regulatory registers, compliance obligations and statutory reporting requirements.Internal Controls & Governance:Develop and maintain the Group's Internal Controls Framework.Design and implement key control standards across all business functions.Review the effectiveness of internal controls and recommend improvements where required.Coordinate control self-assessments and oversee remediation of control deficiencies.Support the implementation of governance frameworks, delegated authorities and approval processes.Promote a strong control environment across the Group.Compliance Monitoring & Assurance:Develop and deliver the annual Compliance Monitoring Programme.Conduct compliance reviews and thematic assessments across business functions.Monitor adherence to internal policies, regulatory requirements and control standards.Track findings, recommendations and remediation activities through to completion.Coordinate regulatory inspections, internal audits and external reviews.Maintain evidence to demonstrate ongoing regulatory compliance.Policies, Procedures & Regulatory Frameworks:Develop, review and maintain the Group's Risk, Compliance & Controls policies and procedures.Ensure policies remain aligned with regulatory requirements and industry best practice.Establish governance over policy ownership, review cycles and approvals.Maintain a central policy register and ensure business-wide awareness of policy updates.Continually review and improve the Group's control environment as the organisation grows.Training & Culture:Develop and deliver mandatory compliance and risk training programmes across the Group.Promote awareness of regulatory obligations, internal controls and ethical conduct.Support the onboarding of new employees through mandatory compliance training.Work closely with People & Culture to embed compliance into the employee lifecycle and performance framework.Business Partnering & Stakeholder Management:Act as a trusted adviser to the Group Chief Executive Officer, Executive Leadership Team and Board on all risk and compliance matters.Work closely with Operations, Legal, Finance, Technology and business units to ensure compliance requirements are embedded into business processes.Review new products, services, strategic initiatives and third-party arrangements from a risk and compliance perspective.Build strong relationships with regulators, external advisers and key stakeholders.Present regular updates to the Executive Leadership Team and Board Risk Committee.Qualification & Experience:Bachelor's degree in Law, Risk Management, Compliance, Finance or a related discipline.Master's degree desirable.Minimum of 10 years' experience in Risk, Compliance or Regulatory roles within financial services.At least 5 years' experience in a senior leadership position.Proven experience establishing or developing a Risk, Compliance or Control function.Strong knowledge of ADGM and FSRA regulatory requirements.Experience overseeing AML/CFT, KYC, onboarding and regulatory compliance programmes.Experience developing enterprise risk management and internal control frameworks.Strong understanding of corporate governance principles.Excellent stakeholder management and influencing skills.Professional qualifications such as ICA, CAMS, FRM, PRM or equivalent is highly preferred.Experience within Banking, Investment Banking, Asset Management, Wealth Management or Capital Markets is desirable.