Compliance Officer
Job Fit Check
Base Career helps you apply smarter for this job.
Key skills for this role
About the Role
Key Responsibilities: Identifying compliance risks and advising on appropriate policies, procedures, systems, and controls. Documenting the organization, responsibilities and procedures of the Firm's compliance function.
Key Skills for This Role
Full Job Posting
Key Responsibilities
- Identifying compliance risks and advising on appropriate policies, procedures, systems, and controls.
- Documenting the organization, responsibilities and procedures of the Firm's compliance function.
- Ensuring compliance breaches are readily identified, reported, and acted on.
- Keeping senior management up to date on changes in relevant regulations and their implications.
- Preparing the Firm for risk assessment visits.
- Reviewing the Firm's marketing materials
- Processing applications for the registration and withdrawal of individuals
- Ensuring that employees receive training on what must or must not be done to ensure compliance
- Liaising with the regulator and ensuring all regulatory returns and ad hoc notifications are submitted on time
- Maintaining the Firm's regulatory files and registers
- Providing support and training to the group's Compliance Officer where applicable
Requirements
- Minimum 3-5 years of compliance experience within Forex, CFDs, Financial Services, Banking, or FinTech.
• CMA License - Category 5
- Strong understanding of AML/CFT, KYC, and regulatory compliance requirements.
- Experience dealing with financial regulators and regulatory reporting.
- Excellent analytical, communication, and organizational skills.
- Professional certifications in Compliance, AML, Risk Management, or related fields are advantageous.
- Experience within a brokerage or trading environment is highly preferred.
What We Offer
- Flexible working arrangement.
- Opportunity to work with a growing international brokerage.
- Competitive compensation based on experience.
- Dynamic and professional work environment.
Apply for this job in 1 click
Skip the repetitive application forms
Install the Base Career Chrome Extension and autofill job applications across major job boards with your profile.
Trusted by over 500,000 job seekers on Base Career
More from this employer
More jobs at Dolphin Markets
Business Development Manager
Dubai, UAE
Key Responsibilities Develop and manage relationships with Introducing Brokers (IBs) and direct clients in the MENA region. Identify new business opportunities and create strategies to drive client acquisition and reve
Business Development Manager
Dubai, UAE
Key Responsibilities Develop and manage relationships with Introducing Brokers (IBs) and direct clients in the MENA region. Identify new business opportunities and create strategies to drive client acquisition and reve