Head of Compliance Operations

EXANTE Limited; Dubai; On-site; USD 70,000 - 120,000; Full time

Job summary

EXANTE Limited is seeking a Compliance Officer to manage regulatory compliance for its brokerage operations in the Middle East. This role includes monitoring AML regulations, managing licensing and audits, and guiding compliance training for employees. The successful candidate will play a critical role in maintaining the integrity and operational efficiency of the firm's activities in a dynamic regulatory environment.

Benefits

Corporate benefits (choose your preferred options)

Ongoing education & training programs

Global career opportunities

Pleasant and informal work environment

Performance-based bonus programs

Qualifications

• Minimum 5-8 years of compliance experience in a brokerage firm or financial services provider.
• Direct experience with Middle East regulators.
• Fluent in English; proficiency in Arabic is a plus.

Responsibilities

• Ensure compliance with local financial regulatory bodies (e.g., DFSA, ADGM, SCA, CMA).
• Act as the appointed MLRO, overseeing KYC processes.
• Manage day-to-day operations for local entities and branches.

Skills

Regulatory Compliance

Anti-Money Laundering (AML)

Communication

Problem Solving

Education

Bachelor's degree in Finance, Economics, or related field

Master's or professional certification (e.g., ICA, ACAMS, CFA, CCO)

Job description

EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform offers seamless access to diverse financial instruments- including stocks, ETFs, bonds, futures, and options- all within a single, multi-currency account.

We cultivate a culture that transcends the ordinary, where rapid responses to market dynamics and proactive problem-solving are the norm. At EXANTE, the potential to make a meaningful impact is ever-present. Our team members continuously pursue personal and professional growth, empowered to spearhead change across people, processes, and products. True innovation stems from an insatiable desire for improvement, and everyone at EXANTE is committed to fostering this spirit and propelling the company into the future.

As a rapidly expanding global firm with over 600 talented employees from 65 nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear : We prioritize investing in our most valuable asset - our people. Join us in shaping the future of finance.

About the Role

The Compliance Officer will oversee regulatory compliance for the firm's brokerage operations in the Middle East. This includes ensuring adherence to local and international regulations governing financial services, trading activities, anti-money laundering (AML), and client onboarding. The role also involves working closely with regulators (e.g., DFSA, ADGM, CMA, SCA) and internal stakeholders to build a robust compliance framework that protects the firm from legal and reputational risks.

Reporting Line : Global Head of Compliance

Responsibilities :

Regulatory Compliance

Ensure compliance with local financial regulatory bodies (e.g., DFSA, ADGM, SCA, CMA).

Track, interpret, and implement changes in laws and regulations related to brokerage and financial services.

Manage regulatory licensing, audits, inspections, and ongoing obligations.

AML / CTF Oversight

Act as the appointed MLRO , ensuring full compliance with anti-money laundering and counter-terrorist financing regulations.

Oversee KYC / CDD processes, suspicious activity monitoring, and reporting of SARs / STRs.

Brokerage Support

Manage day-to-day operations of local entities and branches

Handle client and regulatory external inquiries

Support emerging matters for Exante worldwide

Internal Controls & Monitoring

Develop and implement risk-based compliance monitoring programs and controls.

Conduct regular reviews and testing of trading activities, client onboarding, and internal processes.

Policy & Procedure Management

Draft, update, and implement compliance policies and procedures in line with regional and global standards.

Advise internal departments (e.g., trading, client services, operations) on compliance obligations.

Provide compliance training to employees, particularly front-office and trading teams.

Serve as the point of contact for compliance queries across the business.

Reporting

Report compliance risks, breaches, and key metrics to senior management and regulators.

Maintain compliance records and prepare documentation for audits or regulatory inquiries.

Align regional compliance practices with group / global compliance frameworks.

Ensure the firm adheres to international regulations such as FATF, MiFID II (if applicable), and sanctions programs (e.g., OFAC, UN, EU).

Qualifications

Bachelors degree in Finance, Economics, or a related field. A Master's or professional certification (e.g., ICA, ACAMS, CFA, CCO) is preferred.

Minimum 5 -8 years of compliance experience in a brokerage firm, investment firm, or financial services provider in the Middle East.

Direct experience with Middle East regulators (e.g., DFSA, ADGM, SCA, CMA).

Strong understanding of securities regulations, trading platforms, and brokerage operations.

Familiarity with AML systems, sanctions screening, and regulatory reporting tools.

Strong ethical judgment and high integrity.

Proactive, detail-oriented, and able to manage multiple deadlines in a fast-paced environment.

Ability to communicate compliance risks clearly to non-compliance professionals.

Fluent in English (required); Arabic proficiency is a plus.

Personality / Mindset

Integrity & loyalty

Team player with advanced communication and collaboration skills

A hands-on, can-do attitude - always looking for solutions and thinking out of the box

Capability to work and succeed in the fast pace and ever-changing environment

We Offer

Corporate benefits (choose your preferred options)

Truly inspiring culture, pleasant and informal work environment

Ongoing education & training programs

Opportunity to network and connect in the Corporate Events

Global career opportunities

• Benefits / perks can vary depending on the nature of your employment with the company and the country where you work

A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.

• Competitive salary & performance-based bonus programs
• Corporate benefits (choose your preferred options)
• Global career opportunities
• Ongoing education & training programs
• Opportunity to network and connect in the Corporate Events
• Truly inspiring culture, pleasant and informal work environment
• Benefits / perks listed above may vary depending on the nature of your employment with the company and the country where you work

Your journey starts here

Locations

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Function

Compliance

Location

Employment type

Remote / Hybrid / Office

Working mode

Full time

About company

EXANTE

EXANTE is a wealthtech company that provides centralised trading solutions and B2B financial infrastructure that helps create value through technology.

Our p...

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