indeed
Head of Compliance - Dubai
LMAX Group
Dubai, UAE
Contract
Director
Onsite
2 weeks ago
Regulatory ComplianceAML/CFTSCA/CMA RegulationsLeadershipStakeholder ManagementCommunication
Free
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Regulatory ComplianceAML/CFTSCA/CMA Regulations
About the Role
LMAX Group seeks a Head of Compliance to lead the compliance framework in their new Dubai office. The role involves regulatory liaison with SCA/CMA, developing compliance policies, acting as MLRO, and overseeing AML/CFT.
Key Skills for This Role
Regulatory ComplianceAML/CFTSCA/CMA RegulationsLeadershipStakeholder ManagementCommunication
Responsibilities
- Act as primary point of contact for SCA/CMA, manage regulatory filings and inspections
- Develop, implement, and maintain the firm’s Compliance Manual and internal policies
- Perform final compliance sign off on promotional material and client facing communications
- Lead development and maintenance of comprehensive compliance programs
- Oversee monitoring and reporting of compliance risks
- Manage regulatory filings, audits, and inspections
- Act as Money Laundering Reporting Officer (MLRO) and oversee AML/CFT framework
- Provide expert guidance and training to staff on compliance matters
Requirements
- University degree with minimum 5 years’ experience in financial markets or relevant fields, or diploma with at least 10 years’ experience
- Relevant certifications such as ICA, ACAMS, or equivalent
- Successful completion of exams on UAE Financial Rules and Regulations and Combating Financial Crime
- Strong leadership, communication, and stakeholder management skills
Full Job Posting
Description
- Joining the Compliance division at LMAX Group’s new Dubai office offers a unique opportunity to lead and shape the compliance framework.
- This role places you at the forefront of regulatory adherence and risk management, working closely with senior leadership.
Responsibilities
- Act as the primary point of contact for the Securities and Commodities Authority (SCA/CMA). Manage all regulatory filings, information requests, and supervisory inspections.
- Develop, implement, and maintain the firm’s Compliance Manual and internal policies.
- Perform the final 'compliance sign off' on all promotional material and client facing communications.
- Lead the development, implementation, and maintenance of comprehensive compliance programs.
- Oversee the monitoring and reporting of compliance risks.
- Manage regulatory filings, audits, and inspections.
- Drive continuous professional development initiatives within the team.
- Act as the firm’s Money Laundering Reporting Officer (MLRO). Oversee the entire AML/CFT framework.
- Maintain oversight of the goAML portal for submission of STRs and SARs.
- Provide expert guidance and training to staff on compliance matters.
- Ensure effective communication and liaison with regulatory bodies and external auditors.
- Transaction monitoring for global entities.
Requirements
- University degree with a minimum of 5 years’ experience in financial markets or relevant fields, or a diploma with at least 10 years’ experience.
- Alternatively, a minimum of 5 years’ experience combined with relevant certifications (e.g., CIA, CPA, ICA, ACAMS).
- Relevant certifications for anti money laundering tasks such as ICA Advanced Certificate or ACAMS.
- Successful completion of exams on UAE Financial Rules and Regulations and Combating Financial Crime.
- Commitment to ongoing Continuous Professional Development (CPDs) in Global Financial Compliance.
- Strong leadership, communication, and stakeholder management skills.
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