Head of Compliance

Compliance Officer | FX & CFD Brokerage | Dubai, UAE About the Role We are working with an established FX and CFD Brokerage in Dubai that is looking to appoint an experienced Compliance Officer to support the business across its regulatory and compliance framework. This is an excellent opportunity for a Compliance professional with strong experience within the FX, CFD, Brokerage or wider financial services sector, who understands the UAE regulatory environment and can provide practical, commercially focused compliance advice to the business and senior management The successful candidate will play an important role in maintaining and enhancing the firm's compliance framework, ensuring that regulatory obligations are understood and effectively implemented across the organisation. Key Responsibilities • Support the development, implementation and ongoing maintenance of the firm's compliance framework and policies. • Provide day-to-day compliance advice to senior management and key stakeholders across the business. • Monitor regulatory developments and assess their impact on the firm's activities, products and services. • Ensure compliance with applicable UAE regulatory requirements and relevant regulatory obligations. • Support the business in maintaining appropriate policies, procedures and internal controls. • Conduct compliance monitoring and thematic reviews, identifying areas of regulatory risk and recommending appropriate remediation. • Assist with regulatory reporting, regulatory correspondence and interactions with the relevant regulatory authorities. • Support the onboarding and ongoing monitoring of clients in line with applicable AML, KYC and financial crime requirements. • Provide compliance guidance relating to FX, CFD and other relevant financial products and services. • Work closely with senior management to ensure the business operates within its regulatory permissions and licence conditions. • Support regulatory inspections, audits and reviews where required. • Promote a strong culture of compliance and regulatory awareness across the organisation. Candidate Profile The ideal candidate will have proven compliance experience within FX, CFDs, Brokerage or a closely related financial services environment, with a strong understanding of the relevant financial products, business models and associated regulatory requirements. You should have experience working within the UAE regulatory environment, with previous SCA/CMA registration or approval badges highly desirable. A strong understanding of the regulatory framework applicable to the firm's activities and licensing structure is essential. The successful candidate will have a practical understanding of the requirements associated with a Category 5 licence, with the ability to translate regulatory requirements into effective, commercially focused compliance solutions. You will be comfortable working closely with senior management, providing clear and pragmatic regulatory advice, while maintaining the independence and integrity expected of a Compliance function. Key Requirements • Experience in a Compliance role within FX, CFD Brokerage, Brokerage or Financial Services. • Strong knowledge of FX and CFD products and the associated regulatory risks. • Experience working with the UAE regulatory framework. • Previous SCA/CMA registration or approval is preferred. • Understanding of the regulatory requirements relevant to a Category 5 licence. • Knowledge of AML/KYC and broader financial crime requirements. • Experience in compliance monitoring, risk assessment and regulatory advisory. • Strong communication and stakeholder management skills. • Ability to work independently and engage confidently with senior management. • Commercially minded, pragmatic and solutions-focused approach to compliance. Show more Show less

Experience in a Compliance role within FX, CFD Brokerage, Brokerage or Financial Services. Strong knowledge of FX and CFD products and the associated regulatory risks. Experience working with the UAE regulatory framework. Previous SCA/CMA registration or approval is preferred. Understanding of the regulatory requirements relevant to a Category 5 licence. Knowledge of AML/KYC and broader financial crime requirements. Experience in compliance monitoring, risk assessment and regulatory advisory. Strong communication and stakeholder management skills. Ability to work independently and engage confidently with senior management. Commercially minded, pragmatic and solutions-focused approach to compliance.

Support the development, implementation and ongoing maintenance of the firm's compliance framework and policies. Provide day-to-day compliance advice to senior management and key stakeholders across the business. Monitor regulatory developments and assess their impact on the firm's activities, products and services. Ensure compliance with applicable UAE regulatory requirements and relevant regulatory obligations. Support the business in maintaining appropriate policies, procedures and internal controls. Conduct compliance monitoring and thematic reviews, identifying areas of regulatory risk and recommending appropriate remediation. Assist with regulatory reporting, regulatory correspondence and interactions with the relevant regulatory authorities. Support the onboarding and ongoing monitoring of clients in line with applicable AML, KYC and financial crime requirements. Provide compliance guidance relating to FX, CFD and other relevant financial products and services. Work closely with senior management to ensure the business operates within its regulatory permissions and licence conditions. Support regulatory inspections, audits and reviews where required. Promote a strong culture of compliance and regulatory awareness across the organisation.