Head of Compliance

FinTop Consulting; Dubai; Sur place; AED 360 000 - 600 000; Plein temps

Résumé du poste

FinTop Consulting is seeking a Head of Compliance to lead regulatory efforts for its UAE operations. The role focuses on enforcing UAE and SCA guidelines, AML/CFT controls, and robust KYC/EDD processes across the brokerage platform.

Based in Dubai on a full-time onsite basis, the role requires strong analytical and governance skills to supervise policies, incident investigations, and regulatory filings while reporting to senior management.

Qualifications

• 2+ years of experience in Compliance, AML/CFT, or Financial Crime within regulated financial services.
• CISI Certifications required.
• Good understanding of regulatory compliance principles and financial crime controls.

Responsabilités

• Ensure compliance with UAE regulations, SCA requirements, and AML/CFT legislation.
• Review KYC/CDD, EDD, sanctions screening, and PEP checks.
• Maintain compliance policies, procedures, registers, and monitoring programmes.
• Review marketing materials, promotional activities, and client communications.
• Manage client complaints, compliance breaches, and incident investigations.
• Support regulatory filings, audits, inspections, and ongoing licensing obligations.
• Monitor regulatory developments and prepare compliance reports for senior management.

Connaissances

Compliance

AML/CFT

Regulatory affairs

KYC/EDD

Sanctions screening

PEP checks

Formation

CISI Certification

Description du poste

Position: Head of Compliance

Location: Dubai, UAE (Onsite)

FinTop Consulting has partnered with a Global FX/CFD broker to identify a Head of Compliance for its UAE operations. This is an excellent opportunity for a compliance professional to join an international brokerage and support its regulatory compliance framework under an SCA Category 5 licence.

Key Responsibilities

• Ensure compliance with UAE regulations, SCA requirements, and AML/CFT legislation.
• Review KYC/CDD, EDD, sanctions screening, and PEP checks.
• Maintain compliance policies, procedures, registers, and monitoring programmes.
• Review marketing materials, promotional activities, and client communications.
• Manage client complaints, compliance breaches, and incident investigations.
• Support regulatory filings, audits, inspections, and ongoing licensing obligations.
• Monitor regulatory developments and prepare compliance reports for senior management.

Requirements

• 2+ years of experience in Compliance, AML/CFT, or Financial Crime within regulated financial services.
• Relevant professional compliance certifications are required (CISI Certifications)
• Good understanding of regulatory compliance principles and financial crime controls.
• Strong analytical, communication, and organisational skills.