Candidates with regulatory compliance experience in financial services and familiarity with UAE CMA will find this role in a global trading platform in Dubai.
Derived from job-description analysis by Serendipath's career intelligence engine.
Original posting from Capital via Lever
We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.
Responsibilities::
- Support CCMENA’s daily regulatory compliance obligations under its UAE CMA Category 1 licence, reporting to the Head of Compliance.
- Monitor regulatory developments, assess their impact on the business, and maintain the Regulatory Change Log.
- Maintain the Regulatory Obligations Register and regulatory calendar, tracking licence conditions, reporting deadlines, and ongoing compliance requirements.
- Prepare and coordinate regulatory submissions, filings, and correspondence, ensuring accuracy, completeness, and timely submission.
- Review and update compliance policies and internal procedures to reflect regulatory changes and business developments.
- Support compliance monitoring reviews, document findings, and maintain remediation trackers, following up with relevant teams until actions are completed.
- Prepare compliance reports and updates for the Head of Compliance and senior management, highlighting regulatory developments, issues, and outstanding actions.
- Provide practical compliance guidance to business teams on activities involving securities dealing, international brokerage, OTC derivatives, CFDs, and spot FX.
- Review proposed business changes, products, and services to assess their alignment with regulatory requirements and the entity’s licence permissions.
- Review financial promotions and marketing materials for compliance with applicable regulatory requirements.
- Support complaints oversight by reviewing complaint trends, identifying potential compliance concerns, and tracking corrective actions.
- Assist with CMA inspections and information requests by coordinating responses, gathering supporting documents, and maintaining clear compliance records.
Requirements::
- 3 years of relevant experience in regulatory compliance within a regulated brokerage, investment firm, fintech company, or other financial services organisation.
- Working knowledge of the UAE CMA or DFSA regulatory framework.
- Understanding of securities dealing, international brokerage, OTC derivatives, CFDs, and spot FX, including the compliance considerations relevant to these activities.
- Experience preparing regulatory submissions, maintaining compliance registers, and managing regulatory deadlines.
- Ability to interpret regulatory requirements, assess their business impact, and translate them into practical policies, procedures, and actions.
- Experience supporting compliance monitoring, policy reviews, management reporting, and remediation tracking.
- Strong attention to detail, organisational skills, and the ability to manage multiple priorities and deadlines.
- Strong communication and stakeholder management skills, with the ability to provide clear guidance to business teams.
- Excellent written and spoken English; Arabic language skills will be considered an advantage.
What you will get in return:
- Competitive Salary: We believe great work deserves great pay! Your skills and talents will be rewarded with a salary that makes you feel valued and motivated.
- Work-Life Harmony: Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock.
- Generous Time Off: Need a breather? Our annual leave policy lets you recharge and enjoy life outside of work without a worry.
- Employee Referral Program: Love working here? Share the love! Bring your talented friends on board and get rewarded for growing our awesome team.
- Comprehensive Health Benefits: We’ve got your back with a medical insurance plan. Plus, location-specific benefits and perks!
- Workation Wonderland: Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world (some restrictions apply). Adventure awaits!
- Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.
Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.
Source: Capital careers (Lever)