Head of Compliance - Dubai (CMA/SCA Accredited)

Joining the Compliance division at LMAX Group’s new Dubai office offers a unique opportunity to lead and shape the compliance framework within a dynamic and fast-growing institutional exchange environment. This role places you at the forefront of regulatory adherence and risk management, working closely with senior leadership to ensure robust compliance practices that support the company’s strategic objectives. You will be part of a collaborative team dedicated to maintaining the highest standards of integrity and operational excellence in a complex financial market landscape. Responsibilities: - Act as the primary point of contact for the Securities and Commodities Authority (SCA/CMA). Manage all regulatory filings, information requests, and supervisory inspections. - Develop, implement, and maintain the firm’s Compliance Manual and internal policies. This includes ensuring all policies are updated to reflect the most recent SCA/CMA circulars. - Perform the final "compliance sign-off" on all promotional material and client-facing communications, ensuring they are fair, clear, and not misleading. - Lead the development, implementation, and maintenance of comprehensive compliance programs aligned with regulatory requirements and industry best practices - Oversee the monitoring and reporting of compliance risks, ensuring timely identification and mitigation of potential issues - Manage regulatory filings, audits, and inspections, ensuring full adherence to UAE financial rules and regulations - Drive continuous professional development initiatives within the team to maintain up-to-date knowledge of global financial compliance standards - Act as the firm’s Money Laundering Reporting Officer (MLRO). Oversee the entire AML/CFT framework, including internal controls, risk assessments, and reporting mechanisms. - Maintain oversight of the goAML portal for the submission of Suspicious Transaction Reports (STRs) and Suspicious Activity Reports (SARs) when necessary. - Provide expert guidance and training to staff on compliance matters, fostering a culture of compliance awareness across the organization - Ensure effective communication and liaison with regulatory bodies and external auditors - Transaction monitoring for global entities

Act as the primary point of contact for the Securities and Commodities Authority (SCA/CMA). Manage all regulatory filings, information requests, and supervisory inspections. Develop, implement, and maintain the firm’s Compliance Manual and internal policies, ensuring policies reflect the latest SCA/CMA circulars. Perform the final “compliance sign-off” on all promotional material and client-facing communications. Lead development and maintenance of comprehensive compliance programs aligned with regulatory requirements and industry best practices. Oversee monitoring and reporting of compliance risks with timely identification and mitigation. Manage regulatory filings, audits, and inspections in line with UAE financial rules and regulations. Drive continuous professional development within the team to maintain up-to-date knowledge of global financial compliance standards. Act as Money Laundering Reporting Officer (MLRO) overseeing AML/CFT framework, internal controls, risk assessments, and reporting mechanisms. Maintain oversight of the goAML portal for STRs and SARs submissions. Provide expert guidance and training to staff on compliance matters. Ensure effective communication and liaison with regulatory bodies and external auditors. Conduct transaction monitoring for global entities.