Regulatory Compliance Officer

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

Benefits offered by this job

Competitive salary

Work-Life harmony

Generous annual leave

Employee referral program

Comprehensive health benefits

Workation - 30 extra days remote

Job summary

Capital Com SV Investments Limited is seeking a proactive Regulatory Compliance professional to ensure adherence to UAE CMA Category 1 licence obligations. You will monitor regulatory developments, coordinate submissions, and maintain trackers to support timely compliance across the business.

English communication is essential, with Arabic an advantage. The role involves collaborating with the Head of Compliance and senior management to review policies, manage deadlines, and provide practical

Qualifications

• 3 years of relevant experience in regulatory compliance within a regulated brokerage, investment firm or fintech.

Responsibilities

• Support daily regulatory compliance obligations under UAE CMA Category 1 licence reporting to Head of Compliance.
• Monitor regulatory developments and update Regulatory Change Log.
• Maintain Regulatory Obligations Register and calendar tracking licence conditions and deadlines.
• Prepare and coordinate regulatory submissions, filings and correspondence.
• Review and update compliance policies to reflect regulatory changes and business developments.
• Support monitoring reviews, document findings and remediation trackers until actions are completed.
• Prepare compliance reports for Head of Compliance and senior management.

Skills

Regulatory compliance knowledge

Excellent written and spoken English

Strong communication

Stakeholder management

Attention to detail

Arabic language skills (advantage)

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 their 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

What you will get in return

• Competitive Salary We believe great work deserves great pay Your skills and talents will be rewarded with a salary that makes you feel valued and motivated
• Work-Life Harmony Join a company that genuinely cares about you -because your life outside of work matters just as much as your time on the clock
• Generous Time Off Need a breather Our annual leave policy lets you recharge and enjoy life outside of work without a worry
• Employee Referral Program Love working here Share the love Bring your talented friends on board and get rewarded for growing our awesome team
• Comprehensive Health Benefits We ve got your back with a medical insurance plan Plus location-specific benefits and perks
• Workation Wonderland Live your digital nomad dreams with 30 extra days to work remotely from anywhere in the world some restrictions apply Adventure awaits