Regulatory Compliance Officer

Capital Com SV Investments Limited; Abu Dhabi; On-site; AED 180,000 - 240,000; Full time

Job summary

Capital Com SV Investments Limited in the United Arab Emirates seeks a seasoned Compliance professional to oversee regulatory obligations for CCMENA under the UAE CMA Category 1 licence. The role reports to the Head of Compliance and collaborates with multiple business teams to ensure timely submissions and policy adherence.

The ideal candidate has 3+ years of experience in regulated financial services, strong knowledge of UAE CMA/DFSA frameworks, and excellent written and spoken English; Arabic

Qualifications

• 3 years of relevant experience in regulatory compliance within a regulated brokerage, investment firm, fintech company, or other financial services organisation.

Responsibilities

• Support daily regulatory compliance obligations under UAE CMA Category 1 licence, reporting to Head of Compliance.
• Monitor regulatory developments and maintain Regulatory Change Log.
• Maintain Regulatory Obligations Register and regulatory calendar with deadlines.
• Prepare regulatory submissions, filings, and correspondence with accuracy and timeliness.
• Review and update compliance policies to reflect regulatory changes and business developments.
• Support compliance monitoring, document findings, and track remediation actions.
• Prepare compliance reports for Head of Compliance and senior management.
• Provide guidance on securities dealing, international brokerage, OTC derivatives, CFDs, and spot FX.

Skills

Regulatory compliance

Regulatory reporting

Policy interpretation

Stakeholder communication

Job description

Job description

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

Responsibilities

• Support CCMENA’s daily regulatory compliance obligations under its UAE CMA Category 1 licence, reporting to the Head of Compliance.
• Monitor regulatory developments, assess its impact on the business, and maintain the Regulatory Change Log.
• Maintain the Regulatory Obligations Register and regulatory calendar, tracking licence conditions, reporting deadlines, and ongoing compliance requirements.
• Prepare and coordinate regulatory submissions, filings, and correspondence, ensuring accuracy, completeness, and timely submission.
• Review and update compliance policies and internal procedures to reflect regulatory changes and business developments.
• Support compliance monitoring reviews, document findings, and maintain remediation trackers, following up with relevant teams until actions are completed.
• Prepare compliance reports and updates for the Head of Compliance and senior management, highlighting regulatory developments, issues, and outstanding actions.
• Provide practical compliance guidance to business teams on activities involving securities dealing, international brokerage, OTC derivatives, CFDs, and spot FX.
• Review proposed business changes, products, and services to assess their alignment with regulatory requirements and the entity’s licence permissions.
• Review financial promotions and marketing materials for compliance with applicable regulatory requirements.
• Support complaints oversight by reviewing complaint trends, identifying potential compliance concerns, and tracking corrective actions.
• Assist with CMA inspections and information requests by coordinating responses, gathering supporting documents, and maintaining clear compliance records.

Requirements

• 3 years of relevant experience in regulatory compliance within a regulated brokerage, investment firm, fintech company, or other financial services organisation.
• Working knowledge of the UAE CMA or DFSA regulatory framework.
• Understanding of securities dealing, international brokerage, OTC derivatives, CFDs, and spot FX, including the compliance considerations relevant to these activities.
• Experience preparing regulatory submissions, maintaining compliance registers, and managing regulatory deadlines.
• Ability to interpret regulatory requirements, assess their business impact, and translate them into practical policies, procedures, and actions.
• Experience supporting compliance monitoring, policy reviews, management reporting, and remediation tracking.
• Strong attention to detail, organisational skills, and the ability to manage multiple priorities and deadlines.
• Strong communication and stakeholder management skills, with the ability to provide clear guidance to business teams.
• Excellent written and spoken English; Arabic language skills will be considered an advantage.