Senior Compliance
Skills
About This Role
Role Overview
We are seeking a detail-oriente
d 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
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