Senior Compliance Manager
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Key skills for this role
About the Role
CMC Markets seeks an experienced Senior Compliance Manager to lead compliance for their Dubai office. You will act as the DFSA-authorised Compliance Officer and MLRO, ensuring the business operates in line with regulation while supporting sustainable growth.
Key Skills for This Role
Responsibilities
- Own day to day compliance activity for the Dubai office, providing advice and solutions to the business and senior leaders
- Act as the DFSA authorised Compliance Officer and MLRO, fulfilling all duties under the DFSA AML Rulebook
- Ensure the business operates within relevant regulatory requirements and promote a strong compliance and risk culture
- Maintain close collaboration and communication with the UK Head Office
- Liaise with regulators and external parties, including the DFSA, FCA, and auditors
- Review and approve financial promotions, client communications, and client facing documentation
- Oversee KYC and AML processes in line with local regulations and Group policies
- Deliver compliance training tailored to business activities and current regulatory themes
- Horizon scan to assess impact of regulatory changes on the region and wider Group
- Develop and maintain policies and procedures in response to changing regulatory landscape
- Conduct risk based monitoring in line with agreed review plans
- Produce monthly and ad hoc compliance reporting, escalating issues and breaches
Requirements
- DFSA approval (or ability to obtain) as a senior manager responsible for compliance, meeting GEN 7.6.3 requirements
- At least 5 years relevant regulatory experience, ideally within retail financial services
- Strong knowledge of DFSA rules and UK financial services regulation
- Previous experience in a compliance generalist role
- Resident in the UAE, with prior experience working in the DIFC
- Naturally analytical and enquiring mindset, with confidence to challenge
- Proven ability to build effective working relationships across the business
Full Job Posting
Role Overview
- We’re looking for an experienced Senior Compliance Manager to lead compliance for our Dubai office.
- This is a senior, generalist role with responsibility for ensuring the business operates in line with regulation.
- Reporting to the UK Head of Compliance, you’ll act as a trusted adviser to the business.
What you’ll be doing
- Owning day to day compliance activity for the Dubai office, providing advice and solutions to the business and senior leaders.
- Acting as the DFSA authorised Compliance Officer and MLRO, fulfilling all duties under the DFSA AML Rulebook.
- Ensuring the business operates within relevant regulatory requirements and promoting a strong compliance and risk culture.
- Maintaining close collaboration and communication with the UK Head Office.
- Liaising with regulators and external parties, including the DFSA, FCA, and internal and external auditors.
- Reviewing and approving financial promotions, client communications and all client facing documentation.
- Overseeing KYC and AML processes in line with local regulations and Group policies.
- Delivering compliance training, tailored to business activities and current regulatory themes.
- Horizon scanning to assess the impact of regulatory changes on the region and wider Group.
- Developing and maintaining policies and procedures in response to a changing regulatory landscape.
- Conducting risk based monitoring in line with agreed review plans.
- Producing monthly and ad hoc compliance reporting, escalating issues and breaches where required.
What we’re looking for
- DFSA approval (or the ability to obtain approval) as a senior manager responsible for compliance, meeting GEN 7.6.3 requirements.
- At least 5 years’ relevant regulatory experience, ideally within retail financial services.
- Strong knowledge of DFSA rules and UK financial services regulation.
- A naturally analytical and enquiring mindset, with the confidence to challenge where needed.
- Proven ability to build effective working relationships across the business.
- Previous experience in a compliance generalist role.
- Resident in the UAE, with prior experience working in the DIFC.
Why CMC Markets
- CMC Markets is powered by our people. We’re committed to creating a diverse and inclusive workplace.
- We actively seek out different perspectives because they lead to better outcomes.
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