Compliance Officer

Job Title: Compliance Officer – SCA Regulated CFD Brokerage

Location: Dubai, United Arab Emirates

Department: Compliance

Reports To: SEO

Job Summary:

We are seeking a qualified and experienced Compliance Officer to oversee and ensure full adherence to the Securities and Commodities Authority (SCA) regulations governing our Contracts for Difference (CFD) brokerage operations in Dubai. The successful candidate will be responsible for establishing, implementing, and maintaining an effective compliance framework in line with UAE laws, SCA requirements, and international best practices.

Key Responsibilities:

• Develop, implement, and monitor internal compliance policies, procedures, and controls to ensure adherence to SCA regulations and other applicable laws.
• Act as the primary point of contact between the brokerage and the SCA , handling all regulatory correspondence, notifications, and filings.
• Conduct regular compliance risk assessments, gap analyses, and internal audits to identify and mitigate potential regulatory breaches.
• Ensure the brokerage’s products, marketing materials, and client communications comply with SCA guidelines for leveraged and derivative products.
• Monitor and review client onboarding, KYC/AML procedures, and transaction monitoring systems to ensure compliance with Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) regulations.
• Provide compliance training and guidance to staff across all departments, promoting a strong compliance culture within the organization.
• Maintain up-to-date knowledge of regulatory developments, circulars, and directives issued by the SCA and other relevant authorities.
• Prepare and submit periodic compliance reports to senior management and the Board, highlighting compliance performance, issues, and recommendations.
• Liaise with internal and external auditors, legal advisors, and regulatory authorities during inspections, investigations, or audits.
• Oversee incident management, ensuring timely identification, reporting, and resolution of compliance breaches or client complaints.

Qualifications and Experience:

• Bachelor’s degree in Law, Finance, Business Administration, or a related field (Master’s degree preferred).
• Minimum of 5 years’ experience in compliance, risk management, or regulatory affairs within a financial services or CFD/FX brokerage.
• Strong understanding of SCA Rulebook , AML/CTF regulations , and UAE financial market laws.
• Prior experience liaising directly with the SCA is highly desirable.
• Excellent communication, analytical, and organizational skills.
• Fluent in English (Arabic proficiency is an advantage).

Why Join Us:

This is an exceptional opportunity to play a key role in shaping the compliance culture of a growing SCA-regulated CFD brokerage in Dubai. You will work closely with senior leadership and regulators, ensuring the company operates with the highest standards of integrity, transparency, and regulatory compliance.