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.
