We have an exciting opportunity to join a growing international broker for a head of Compliance, the role will be based out of their Dubai Headquarters. You will be leading a team of across multiple offices.
They are a multi-product broker dealing with Commodities, Equities, FX, CFD’s etc….
As the Head of Compliance, you will liaise and be the point of contact with international regulators and will be responsible for the day to day management of the compliance team/function.
- Developing and implementing a robust compliance framework, policies, and procedures in accordance with relevant regulatory requirements, industry best practices, and internal guidelines.
- Overseeing the day-to-day compliance operations, including monitoring, surveillance, and reporting on compliance risks, incidents, and breaches.
- Conducting regular risk assessments, compliance reviews, and audits to identify and address any compliance gaps or weaknesses.
- Staying up-to-date with regulatory developments, industry trends, and emerging risks to ensure timely implementation of necessary changes and enhancements to the compliance program.
- Providing expert advice and guidance on compliance-related matters to internal stakeholders.
- Collaborating with various internal departments, such as legal, operations, risk management, and IT, to ensure compliance considerations are integrated into business processes, products, and services.
- Developing and delivering compliance training programs to enhance staff awareness and understanding of compliance obligations.
- Establishing and maintaining effective relationships with external regulatory bodies, industry associations, and other relevant stakeholders
Required Skills and Experience:
- Has a minimum of 7 years of Compliance experience.
- Has management experience.
- Arabic Speaker is a preference
- Has Compliance within the Middle-East
- Has a strong understanding of local rules and regulations.
- Has strong experience working in brokerage/trading firm or Investment bank, with product experience across equities, Commodities, CFD Forex etc..