Compliance Associate

BHFT; Remote; AED 100,000 - 150,000; Full time

Job summary

A financial services firm in the United Arab Emirates is looking for a Compliance Officer to monitor trading activities and ensure adherence to regulatory standards. Candidates should have a Bachelor's degree and at least 3 years of experience in compliance or trade surveillance. This role requires strong analytical skills, knowledge of U.S. and global trading regulations, and familiarity with surveillance systems. The firm supports remote work and is offering a full-time position with additional benefits.

Qualifications

• 3 years of experience in a compliance or trade surveillance role at a broker-dealer, asset manager, or FCM.
• Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA).
• Familiarity with surveillance systems.

Responsibilities

• Monitor trading activity for regulatory violations.
• Conduct compliance testing to ensure adherence to policies.
• Engage with stakeholders to resolve compliance issues.

Skills

Compliance knowledge

Data analysis

Written and verbal communication

Education

Bachelor’s degree in Finance, Economics, Legal Studies or related field

Tools

SMARTS

Actimize

SQL

Python

Job description

Surveillance & Monitoring

• Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.
• Investigate alerts and elevate potential issues to senior compliance leadership.

Position Limit Oversight

• Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.
• Engage with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.

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.

Policy & Procedure Review

• Maintain and update internal compliance policies in response to regulatory developments.
• Assist with training staff on compliance policies and regulatory changes.

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.

Additional Information

• Experience with both futures and equities markets.
• Working knowledge of algorithmic trading order types and market structure.
• Previous involvement in regulatory exams or inquiries.
• Proficiency in data analysis (Excel, SQL, Python a plus).
• Strong written and verbal communication skills.

Remote Work

Yes

Employment Type

Fulltime