Senior Compliance Manager

About This Role

Senior Compliance Manager – Multi-Asset Brokerage

We are working with a multi jurisdiction broker seeking an experienced and strategic Senior Compliance Manager to join a fast-growing fintech company specializing in trading and financial technology solutions. This is a leadership role suited to a highly driven compliance professional with strong regulatory expertise, AML knowledge, and experience within regulated financial markets.

The successful candidate will work closely with senior management, operational teams, and client-facing departments to strengthen the firm’s compliance framework, ensure adherence to UAE regulatory requirements, and support the organization’s continued growth.

Key Responsibilities

• Lead the development, implementation, and ongoing enhancement of the company’s compliance framework in line with SCA regulations and industry best practices
• Act as the primary point of contact with the Securities and Commodities Authority (SCA), managing inspections, inquiries, and regulatory reporting obligations, including SCA CORE submissions
• Monitor regulatory developments and assess their impact on the business, internal controls, and operational procedures
• Develop, review, and maintain internal compliance policies and procedures aligned with UAE regulations
• Oversee Anti-Money Laundering (AML) controls, including KYC/CDD processes, onboarding due diligence, transaction monitoring, and STR filings via goAML
• Conduct ongoing monitoring of trading activity and firm operations, including CFD margin requirements, to ensure full regulatory compliance
• Review and approve client onboarding documentation and account activity
• Lead internal compliance reviews, audits, investigations, and remediation actions relating to regulatory breaches or control weaknesses
• Deliver compliance guidance and training programs across the organization to strengthen regulatory awareness and culture
• Maintain accurate compliance records, monitoring reports, and regulatory documentation
• Provide strategic leadership and full accountability for the AML and Compliance function, including MLRO responsibilities, governance enhancements, and transformation initiatives
• Collaborate with senior stakeholders across departments to ensure effective implementation of compliance controls and regulatory standards

Qualifications & Experience

• Bachelor’s degree in Law, Finance, Business Administration, or a related field
• Minimum 5 years of compliance experience within fintech, brokerage, trading, or financial services
• CISI accredited, supporting eligibility for regulated compliance functions
• Strong expertise in SCA regulations, AML laws, MLRO/DMLRO responsibilities, and financial market products
• Solid understanding of AML, KYC, CDD, sanctions, and financial crime compliance frameworks
• Previous experience working with trading platforms, CFDs, or financial products is highly advantageous
• Proven experience in regulated compliance roles with direct exposure to regulatory authorities

Skills & Competencies

• Strong analytical and problem-solving skills with excellent attention to detail
• Excellent written and verbal communication skills
• Ability to work independently and manage multiple priorities in a fast-paced environment
• Strong stakeholder management and cross-functional collaboration capabilities
• High ethical standards, integrity, and sound professional judgment
• Proficiency in compliance monitoring systems and regulatory documentation tools