Senior Compliance

Job Description

ROLE OVERVIEW:

We are seeking a detail-oriented and proactive Senior Compliance, located in the UAE, to join a fast-growing fintech company specializing in trading and financial technology solutions. The successful candidate will work closely with senior management, operations, and client-facing teams to maintain strong compliance and governance frameworks.

KEY RESPONSIBILITIES:

• Support the development, implementation, and maintenance of the firm’s compliance framework in line with SCA requirements
• Monitor regulatory developments and assess their impact on business operations and policies
• Act as a point of contact for regulatory queries and internal compliance matters
• Assist with regulatory reporting, audits, and internal reviews
• Review and approve client onboarding documentation and account activity
• Support compliance training and awareness programs across the organization
• Investigate potential breaches and support remediation actions
• Maintain accurate compliance records and documentation
• Act as the primary point of contact for the Securities and Commodities Authority (SCA), managing inspections, inquiries, and regulatory reporting (e.g., in SCA CORE)
• Develop and update internal compliance policies and procedures aligned with UAE regulations
• Oversee Anti-Money Laundering (AML) controls, review account opening documentation, conduct onboarding due diligence (KYC), and file Suspicious Transaction Reports (STRs) via goAML
• Conduct ongoing monitoring of trading activity and firm operations (including margin requirements for CFDs) to ensure compliance
• Provide strategic leadership and full accountability for the AML/Compliance department, MLRO, including driving transformation initiatives, implementing regulatory changes, and enhancing overall effectiveness and governance

QUALIFICATIONS & EXPERIENCE

• Bachelor’s degree in Law, Finance, Business, or a related field
• Minimum 5 years of experience in a compliance role within fintech, trading, brokerage, or financial services.
• Accredited by CISI, supporting his suitability for the role
• Expertise in SCA regulations, AML laws, MLRO, DMLRO, and financial market products.
  Solid understanding of AML, KYC, CDD, and financial crime frameworks
• Experience working with trading platforms or financial products is an advantage
• Held previous compliance functions
• Fluent in both Arabic and English

SKILLS & COMPETENCIES

• Strong attention to detail and analytical skills
• Holding CISI degree that allows him to be in this position
• Excellent written and verbal communication skills
• Ability to work independently and manage multiple priorities
• Strong stakeholder management and cross-functional collaboration skills
• High ethical standards and sound professional judgment
• Proficient in compliance monitoring tools and documentation system