Chief Compliance Officer

Chief Compliance Officer (CCO) Location: Muscat, Sultanate of Oman Employment Type: Full-time Industry: Financial Services / Securities Brokerage / Capital Markets Job Overview We are a well-established Hong Kong-based brokerage and diversified financial services firm with a 40-year track record. As part of our international expansion, we are preparing to establish regulated operations in Oman and obtain the relevant licenses from the Financial Services Authority (FSA) of Oman. We seek an experienced CCO & MLRO to lead the company’s compliance and anti-financial crime functions in Oman. This senior executive role reports directly to the Board of Directors / CEO and will be instrumental in building the compliance infrastructure, managing licensing, and ensuring full compliance with Omani laws, FSA regulations, and international standards. Key Responsibilities • Regulatory Liaison & Licensing • Lead the FSA licensing/authorization application process and act as the primary point of contact with the FSA and other authorities. • Ensure timely submission of regulatory applications, notifications, and reports, and monitor regulatory developments. • Compliance Framework & Governance • Develop and implement a comprehensive compliance framework covering AML/CTF, KYC, CDD, sanctions screening, and financial crime prevention. • Ensure compliance with Oman’s AML/CFT Law (Royal Decree No. 30/2016) and applicable FSA instructions (including Decision No. E/80/2021). • Establish internal controls and compliance monitoring programs. • AML/CTF & MLRO Duties • Serve as the designated MLRO, overseeing transaction monitoring, investigations, and timely STR submissions to the National Centre for Financial Information (NCFI). • Manage customer onboarding, EDD, PEP and sanctions screening; conduct AML/CTF risk assessments and deliver training. • Operational Oversight & Regulatory Reporting • Oversee compliance monitoring, testing, audits, and regulatory inspections; identify gaps and drive corrective actions. • Strategic Leadership & Board Advisory • Advise the Board and senior management on regulatory developments, compliance risks, and corporate governance; foster a strong compliance culture. Qualifications & Requirements • Bachelor’s degree or above in Law, Finance, Accounting, Business, Economics, or related field (postgraduate qualification an advantage). • 7–10+ years of compliance, regulatory affairs, AML/CTF, or legal experience in financial services, securities brokerage, investment, or capital markets. • Demonstrated hands-on experience with FSA of Oman licensing applications is essential. • Experience in institutions regulated by recognized authorities preferred: Oman FSA, Hong Kong SFC, UK FCA, Dubai DFSA, or equivalent. • Strong practical knowledge of AML/CTF, KYC/CDD, transaction monitoring, sanctions, and STR reporting. • Proven ability to build and manage a compliance framework and AML/CTF program. • CAMS, ICA Diploma, or equivalent certification strongly preferred. • Must meet the FSA’s Fit & Proper and approval requirements for controlled functions. • Fluency in English is essential; Arabic is a strong advantage. • Strong leadership, integrity, and stakeholder management skills. What We Offer • Competitive executive compensation package. • Opportunity to build the compliance infrastructure of an established international group entering Oman. • Direct reporting to the Board / CEO, with significant involvement in licensing and governance. • Long-term career growth within an expanding international business.

Bachelor’s degree or above in Law, Finance, Accounting, Business, Economics, or related field (postgraduate qualification an advantage). 7–10+ years of compliance, regulatory affairs, AML/CTF, or legal experience in financial services, securities brokerage, investment, or capital markets. Demonstrated hands-on experience with FSA of Oman licensing applications is essential. Experience in institutions regulated by recognized authorities preferred: Oman FSA, Hong Kong SFC, UK FCA, Dubai DFSA, or equivalent. Strong practical knowledge of AML/CTF, KYC/CDD, transaction monitoring, sanctions, and STR reporting. Proven ability to build and manage a compliance framework and AML/CTF program. CAMS, ICA Diploma, or equivalent certification strongly preferred. Must meet the FSA’s Fit & Proper and approval requirements for controlled functions. Fluency in English is essential; Arabic is a strong advantage. Strong leadership, integrity, and stakeholder management skills.

Lead the FSA licensing/authorization application process and act as the primary point of contact with the FSA and other authorities. Ensure timely submission of regulatory applications, notifications, and reports, and monitor regulatory developments. Develop and implement a comprehensive compliance framework covering AML/CTF, KYC, CDD, sanctions screening, and financial crime prevention. Ensure compliance with Oman’s AML/CFT Law (Royal Decree No. 30/2016) and applicable FSA instructions (including Decision No. E/80/2021). Establish internal controls and compliance monitoring programs. Serve as the designated MLRO, overseeing transaction monitoring, investigations, and timely STR submissions to the National Centre for Financial Information (NCFI). Manage customer onboarding, EDD, PEP and sanctions screening; conduct AML/CTF risk assessments and deliver training. Oversee compliance monitoring, testing, audits, and regulatory inspections; identify gaps and drive corrective actions. Advise the Board and senior management on regulatory developments, compliance risks, and corporate governance; foster a strong compliance culture.