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Compliance & Legal Affairs Specialist
ZUPERCT
Dubai, UAE
Full Time
Mid
3 weeks ago
Compliance ManagementAML/KYCRegulatory ReportingLegal Document DraftingRisk AssessmentEnglish
Free
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Compliance ManagementAML/KYCRegulatory Reporting
About the Role
ZUPERCT seeks a Compliance & Legal Affairs Specialist to manage AML/KYC systems, regulatory reporting, and legal support for its UAE operations. Requires 4+ years in financial services compliance or legal roles, with deep knowledge of AML/KYC frameworks.
Key Skills for This Role
Compliance ManagementAML/KYCRegulatory ReportingLegal Document DraftingRisk AssessmentEnglish
Responsibilities
- Oversee day to day compliance operations and ensure alignment with UAE CMA and Seychelles FSA requirements
- Build and maintain compliance policy framework: AML/CFT policy, KYC procedures, client complaint handling
- Submit periodic regulatory reports to UAE CMA and FSA
- Lead design and implementation of KYC and CDD processes
- Establish AML/CFT risk assessment and client risk tiering framework
- Review Enhanced Due Diligence (EDD) cases for high risk clients
- Manage Suspicious Transaction Reports (STR) and interface with regulatory authorities
- Draft and review core legal documents: Client Service Agreement, Risk Disclosure Statement, etc.
- Manage third party contracts and identify legal risks
- Handle legal aspects of client disputes and prepare documentation for regulatory investigations
Requirements
- Bachelor's degree or above in Law, Financial Regulation, Compliance Management, or related field
- 4+ years in financial services (CFD/FX/securities/banking/FinTech) compliance or legal roles
- Deep knowledge of AML/KYC/CFT regulatory frameworks with practical implementation experience
- Familiarity with financial regulatory reporting processes
- Fluent English (written and spoken)
- UAE CMA, DIFC (DFSA), or ADGM (FSRA) compliance experience strongly preferred
- Arabic language proficiency preferred
- ACAMS, ICA Compliance Certificate, or equivalent preferred
Full Job Posting
About the Company
- ZUPERCT INTERNATIONAL LIMITED is an emerging global CFD broker headquartered in Dubai, UAE.
Role Overview
- You will be the regulatory and legal foundation of Zupernova's UAE operations, ensuring compliance under UAE CMA Category 5 license and Seychelles FSA framework.
Key Responsibilities
- Oversee day to day compliance operations; ensure alignment with UAE CMA and Seychelles FSA requirements
- Build and maintain compliance policy framework: AML/CFT policy, KYC procedures, client complaint handling
- Submit periodic regulatory reports to UAE CMA and FSA; monitor regulatory updates
- Manage license renewals, regulatory change notifications, and regulator liaison
- Lead design and implementation of KYC and CDD processes
- Establish AML/CFT risk assessment and client risk tiering framework
- Review Enhanced Due Diligence (EDD) cases for high risk clients
- Manage Suspicious Transaction Reports (STR) and interface with regulatory authorities
- Draft and review core legal documents: Client Service Agreement, Risk Disclosure Statement, etc.
- Manage third party contracts; identify legal risks and recommend revisions
- Handle legal aspects of client disputes and prepare documentation for regulatory investigations
- Track UAE FinTech regulatory developments
Requirements
- Bachelor's degree or above in Law, Financial Regulation, Compliance Management, or related field
- 4+ years in financial services (CFD/FX/securities/banking/FinTech) compliance or legal roles
- Deep knowledge of AML/KYC/CFT regulatory frameworks with practical implementation experience
- Familiarity with financial regulatory reporting processes and direct experience submitting reports to regulators
- Fluent English (written and spoken); ability to independently draft English legal documents and regulatory submissions
- UAE CMA, DIFC (DFSA), or ADGM (FSRA) compliance experience strongly preferred
- Arabic language proficiency preferred for regulatory communications
- ACAMS, ICA Compliance Certificate, or equivalent preferred
- Familiarity with Seychelles FSA compliance requirements preferred
- Mandarin Chinese proficiency preferred (for Group coordination)
- Prior experience as Compliance Officer or Compliance Specialist at a regulated CFD/FX broker preferred
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