Compliance Associate

BHFT; Dubai; On-site; AED 50,000 - 90,000; Full time

Job summary

An established industry player is seeking a Compliance Officer to oversee trading activity and ensure adherence to regulatory standards. In this pivotal role, you will monitor trading behaviors, conduct compliance testing, and maintain internal policies in response to regulatory changes. Your expertise in U.S. and global trading regulations will be essential as you liaise with stakeholders to resolve compliance issues. This position offers the chance to make a significant impact in a dynamic environment where your contributions will help shape the future of trading compliance.

Qualifications

• 3+ years of experience in compliance or trade surveillance roles.
• Strong understanding of U.S. and global trading regulations.

Responsibilities

• Monitor trading activity for market abuse and regulatory violations.
• Conduct compliance testing and maintain internal policies.

Skills

Compliance Monitoring

Regulatory Knowledge

Surveillance Systems

Analytical Skills

Education

Bachelor's degree in Finance

Bachelor's degree in Economics

Bachelor's degree in Legal Studies

Tools

SMARTS

Actimize

Eventus

Job description

Bachelor of Laws (LLB), Bachelor of Commerce, Bachelor of Arts (Economics)

Nationality: Any Nationality

Vacancy: 1 Vacancy

Job Description

1. Surveillance & Monitoring:
   • Monitor and review trading activity for potential market abuse, manipulative behavior, or other regulatory violations using surveillance tools.
   • Investigate alerts and escalate potential issues to senior compliance leadership.
2. Position Limit Oversight:
   • Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.
   • Liaise with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.
3. Compliance Testing & Controls:
   • Conduct periodic testing to ensure the firm's policies and procedures are followed, particularly around surveillance, trade reporting, and position management.
   • Assist in the development and execution of the annual compliance testing plan.
4. Policy & Procedure Review:
   • Maintain and update internal compliance policies in response to regulatory developments.
   • Assist with training staff on compliance policies and regulatory changes.
5. Regulatory Support:
   • Support responses to regulatory inquiries and audits.
   • Prepare documentation and reports for internal and external stakeholders as needed.

Qualifications

• Bachelor's degree in Finance, Economics, Legal Studies, or a related field.
• 3+ years of experience in a compliance or trade surveillance role at a broker-dealer, asset manager, or futures commission merchant (FCM).
• Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA, and international equivalents).
• Familiarity with surveillance systems (e.g., SMARTS, Actimize, Eventus, or similar platforms).
• Experience with position limit frameworks and exchange rules across major global markets.

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