Compliance Officer

Our client, a global FX/CFD brokerage firm in the process of obtaining its SCA Category 5 license in the UAE, is seeking an experienced Compliance Officer. The role is key in developing, implementing, and maintaining compliance systems and controls aligned with the Securities and Commodities Authority (SCA) requirements and international best practices.

Key Responsibilities

• Establish and maintain the firm’s compliance framework, ensuring alignment with SCA regulations, AML/CFT laws, and other applicable regulatory frameworks.
• Oversee client onboarding, product promotion, advertising, and disclosure processes to ensure compliance with internal and external requirements.
• Prepare and submit compliance reports to senior management and liaise with the SCA during the licensing and post-licensing stages.
• Identify, monitor, and remediate compliance breaches or control weaknesses.
• Conduct staff training and promote a strong compliance culture throughout the organization.
• Stay updated on regulatory changes and continuously improve internal policies and procedures.

Qualifications & Experience

• 5–6 years of relevant experience in compliance, risk management, or financial services, preferably within an FX/CFD brokerage or SCA-regulated environment.
• CISI Certifications recognized by the SCA:
• UAE Financial Rules and Regulations
• Combating Financial Crime
• Bachelor’s degree in Law, Finance, Business Administration, or a related field.
• Strong understanding of UAE regulatory frameworks and international compliance standards.
• Excellent communication and organizational skills.

Job Type: Full-time

Application Question(s):

• Briefly describe your experience in developing or implementing a compliance framework for a financial institution.

Experience:

• compliance, risk management, or financial services: 5 years (Required)

License/Certification:

• CISI Certification (Required)

Location:

• Dubai (Required)