Regulatory Compliance Manager

Regulatory Compliance Manager

Location: DIFC, Dubai

Type: Full-time, On-site

Reports to: Head of Compliance / MLRO

Salary: 25,000 - 30,000 AED Per Month.

About The Role

An established DIFC-based financial firm is seeking a Regulatory Compliance Manager to join its growing team.

This role offers a broad remit across the Compliance function, supporting senior Compliance leadership in maintaining, enhancing, and embedding a robust Compliance Control Framework.

The successful candidate will have strong technical regulatory knowledge within the retail/brokerage space (CFD, FX, or commodities).

A background in Regulatory Compliance Advisory or Legal/Regulatory policy will be highly advantageous.

Key Responsibilities

• Marketing Compliance: Review and approve promotional materials; maintain marketing policies and deliver conduct training.
• Market Abuse & Insider Dealing: Develop and execute MAR controls, contribute to risk assessments, generate MI, and support STOR investigations and filings.
• Complaint Handling: Maintain the complaints register, assist with investigations, and manage communication with complainants.
• Policies & Framework: Update and maintain Compliance policies, SOPs, registers (PA Dealing, Gifts & Entertainment, Breaches, STORs), and associated risk assessments.
• Training: Design and deliver Compliance induction and refresher training.
• Governance & Reporting: Prepare Compliance MI and contribute to Committee governance.
• Advisory & Projects: Provide Compliance input for new products, systems, or business initiatives, ensuring alignment with DFSA regulatory expectations.
• Cross-Departmental Support: Collaborate closely with Legal, Operations, Middle Office, and IT to deliver timely and accurate Compliance advice.
• Ad Hoc & Strategic Projects: Support ongoing regulatory initiatives and compliance enhancements as directed by senior Compliance leadership.

Experience

• 5-8 years’ experience in Regulatory Compliance or Compliance Advisory within a brokerage, trading, or investment firm.
• Strong understanding of DFSA rules, Conduct of Business (COB), and AML/CTF regulatory frameworks.
• Excellent knowledge of Market Abuse, Complaints, and Marketing Conduct controls.
• Proven experience developing and delivering Compliance Monitoring Programs (CMPs) and policies/SOPs.
• Background in Law, Finance, or related field (strong educational and legal foundations desirable).
• Strong communication, project management, and stakeholder engagement skills.

Why Join

• Work directly alongside senior Compliance professionals in a DFSA-regulated environment.
• Engage with high-impact regulatory projects across multiple business lines.
• Join a collaborative and ambitious team focused on setting new standards in regulatory excellence.

If you have a passion for regulatory precision, brokerage experience, and a drive to shape best-in-class compliance culture, be sure to apply!