To lead and manage ADIO's Compliance Section, ensuring the development, implementation and effective operation of an enterprise-wide compliance framework aligned with ADIO's statutory mandate, applicable legislation, Abu Dhabi Government requirements, internal policies and recognized international standards.
The role is responsible for promoting a culture of integrity, accountability and ethical conduct; identifying, assessing and monitoring compliance risks; overseeing compliance reviews and investigations; and providing independent compliance advice, monitoring and reporting to support sound decision-making and protect ADIO's institutional integrity and reputation.
Key Responsibilities
A. Compliance Strategy and Framework
- Develop, implement and continuously enhance ADIO's compliance strategy, framework, policies, procedures and controls.
- Establish and maintain a risk-based compliance program covering ADIO's operations, investment activities, incentive programmers, PPP projects, partnerships and third-party relationships.
- Monitor applicable regulatory and government requirements and coordinate their implementation with relevant departments.
- Maintain a compliance obligations register and monitor adherence to applicable requirements.
- Lead compliance improvement initiatives and support alignment with ISO 37301 (Compliance Management Systems) and ISO 37001 (Anti-Bribery Management Systems).
B. Compliance Risk Assessment and Monitoring
- Identify, assess and monitor compliance risks across ADIO's activities and operations.
- Develop and maintain the compliance risk register, including mitigation measures, responsible owners and implementation status.
- Establish an annual risk-based compliance monitoring and testing plan.
- Conduct compliance reviews to assess adherence to applicable laws, policies, procedures and governance requirements.
- Identify control deficiencies, recommend corrective actions and monitor their implementation.
- Escalate material compliance risks, breaches and control failures to the General Counsel and relevant governance bodies.
C. Ethics, Integrity and Conflicts of Interest
- Oversee the implementation of ADIO's Code of Conduct and related ethics and integrity policies.
- Administer and monitor employee and relevant third-party conflict-of-interest declarations.
- Assess actual, potential and perceived conflicts of interest and recommend appropriate mitigation measures, including disclosure, recusal and management protocols.
- Oversee compliance with gifts, hospitality, outside interests and related ethical conduct requirements.
- Promote awareness of integrity obligations and provide practical guidance to employees and management.
D. Investigations and Compliance Breaches
- Manage the receipt, preliminary assessment and appropriate escalation of reported compliance concerns and suspected violations.
- Conduct or coordinate compliance investigations within the Section's approved mandate, ensuring confidentiality, impartiality, procedural fairness and proper documentation.
- Prepare investigation findings and recommendations for consideration by the competent authority.
- Coordinate with Legal, HR, Internal Audit and other relevant functions where required.
- Maintain investigation records and monitor the implementation of approved corrective measures.
- Ensure that disciplinary decisions remain with the competent authority under ADIO's applicable framework.
E. Third-Party Due Diligence and Integrity Screening
- Oversee risk-based integrity and compliance due diligence on investors, beneficiaries, strategic partners and other relevant third parties.
- Coordinate screening for sanctions, politically exposed persons, adverse media, ownership structures and other relevant integrity risks.
- Review due diligence findings, recommend risk mitigation measures and escalate material concerns.
- Support the relevant business functions in identifying compliance risks associated with investment incentives, financial support arrangements and strategic partnerships.
- Coordinate with Procurement regarding supplier integrity risks, without duplicating established government procurement and supplier registration controls.
- Ensure that commercial and investment decisions remain with the relevant authorized business owners and approval authorities.
F. Compliance Policies and Procedures
- Lead the periodic review and updating of compliance policies, procedures and associated guidance.
- Coordinate with Legal and Governance to ensure consistency with ADIO's overarching governance framework and Delegation of Authority.
- Monitor policy implementation, employee acknowledgements and compliance with mandatory requirements.
- Identify opportunities to simplify compliance procedures and eliminate unnecessary duplication.
- Maintain appropriate documentation and evidence of compliance activities.
G. Compliance Reporting and Governance
- Prepare periodic compliance reports for the General Counsel, Director General and relevant committees, as applicable.
- Report material compliance risks, investigations, conflicts of interest, policy breaches, remediation actions and emerging issues.
- Support relevant governance committees by providing compliance assessments, reports and recommendations.
- Maintain accurate records and management information to support oversight and decision-making.
- Monitor the implementation of compliance-related recommendations arising from internal and external reviews.
H. Training and Compliance Culture
- Develop and implement ADIO's annual compliance training and awareness programme.
- Deliver targeted training on ethics, conflicts of interest, anti-bribery, due diligence and other compliance obligations.
- Provide practical guidance to employees and management on compliance requirements.
- Monitor training participation, policy acknowledgements and awareness effectiveness.
- Promote a culture of transparency, integrity and individual accountability.
I. Compliance Transformation and Automation
- Lead initiatives to improve the effectiveness and efficiency of compliance processes.
- Identify opportunities to automate declarations, due diligence, investigations, monitoring, reporting and corrective action tracking.
- Coordinate with IT, Digital Transformation and other relevant functions to implement appropriate compliance technology solutions.
- Develop dashboards and management reporting tools to improve visibility of compliance risks and control effectiveness.
- Support ISO certification readiness and continuous improvement initiatives.
J. Section Leadership and Management
- Lead, supervise and develop the Compliance Section team.
- Establish annual objectives, work plans, priorities and performance measures.
- Allocate responsibilities, oversee workload and ensure timely delivery of compliance activities.
- Manage the Section's resources and external advisers within approved budgets and authorities.
- Promote professional development and maintain appropriate technical capabilities within the team.
3. Decision-Making Authority and Accountability
The Head of Section – Compliance shall:
- Exercise responsibilities within the approved organizational structure, Delegation of Authority and applicable policies.
- Provide independent compliance assessments, recommendations and escalation of material concerns.
- Recommend corrective actions and conflict management measures to the relevant decision-makers.
- Refer matters requiring legal interpretation, formal approval, disciplinary action or other reserved decisions to the competent authority.
- Maintain appropriate functional independence in conducting compliance assessments and reporting findings.
The role does not independently authorize investment incentives, financial commitments, procurement awards, disciplinary sanctions or exceptions to approved policies unless expressly delegated.
4. Key Working Relationships
Internal: General Counsel, Director General Office, Internal Audit, HR, Finance, Procurement, IT, Digital Transformation, Investment and Business Clusters, and relevant governance committees.
External: Relevant Abu Dhabi Government entities, regulatory and oversight authorities, professional advisers, external auditors and specialist compliance service providers, as authorized.
5. Qualifications and Experience
Education
- Bachelor's degree in Law, Business Administration, Finance, Accounting, Risk Management or a related discipline.
- A relevant postgraduate qualification is desirable.
- Professional certification such as CCEP, CAMS, CFE, ISO 37301 Lead Implementer/Auditor or ISO 37001 Lead Implementer/Auditor is desirable.
Professional Experience
- Minimum 8–10 years of relevant experience in compliance, ethics, regulatory compliance, investigations, risk management or corporate governance.
- At least 3–5 years of supervisory or management experience.
- Experience in government entities, investment organisations, financial institutions or similarly complex regulated environments is preferred.
- Demonstrated experience developing and implementing compliance frameworks, conducting investigations, managing compliance risks and advising senior management.
- Familiarity with UAE legislation, Abu Dhabi Government governance requirements and internationally recognized compliance standards.
6. Core Competencies
- Strong professional integrity, independence and sound judgement.
- Comprehensive knowledge of compliance frameworks, internal controls and regulatory requirements.
- Ability to identify and assess complex compliance and reputational risks.
- Strong investigative, analytical and problem-solving capabilities.
- Effective communication, stakeholder management and reporting skills.
- Ability to challenge constructively and provide practical, proportionate recommendations.
- Strong leadership, organizational and project management skills.
- Ability to manage sensitive information and maintain strict confidentiality.
- Commitment to operational efficiency, continuous improvement and digital transformation.
7. Key Performance Indicators
Performance Area
Indicative KPI
*Compliance framework
Timely review, updating and implementation of approved compliance policies and procedures
*Risk management
Completion of scheduled compliance risk assessments and timely updating of the risk register
*Monitoring and testing
Delivery of the approved annual compliance monitoring plan
*Investigations
Timely assessment, escalation and closure of compliance cases in accordance with approved procedures
*Conflicts of interest
Completion and review of required declarations and implementation of approved mitigation measures
*Due diligence
Timely completion and escalation of risk-based third-party due diligence
*Remediation
Timely follow-up and verification of corrective actions
*Training and awareness
Completion of approved compliance training and awareness activities
*Reporting
Timely and accurate submission of compliance reports
*Transformation
Implementation of approved compliance improvement and automation initiatives
8. Expected Outcomes
The Head of Section – Compliance is expected to deliver an effective, proportionate and sustainable compliance function that:
- Protects ADIO from material compliance, integrity and reputational risks.
- Supports lawful, transparent and accountable decision-making.
- Ensures compliance policies and controls are implemented and operating effectively.
- Provides management with timely, reliable compliance information.
- Promotes ethical conduct and accountability across ADIO.
- Strengthens compliance maturity without introducing unnecessary bureaucracy or duplicating the responsibilities of other functions.
Overall Accountability: Effective management and continuous improvement of ADIO's compliance function, under the strategic oversight of the General Counsel.
