Regulatory Compliance Officer

Capital; Dubai; On-site; AED 200,000 - 350,000; Full time

Benefits offered by this job

Competitive salary

Work-Life harmony

Generous time off

Employee referral program

Comprehensive health benefits

Workation 30 days remote work

Volunteer days

Job summary

Capital, a leading trading platform expanding globally, seeks a Regulatory Compliance Specialist in Dubai. You will support daily regulatory obligations under the UAE CMA Category 1 licence and report to the Head of Compliance, ensuring timely submissions and accurate records.

You will monitor regulatory developments, maintain compliance calendars, review policies, and provide practical guidance on securities dealing, CFDs, and spot FX, working with cross-functional teams to uphold licensing

Qualifications

• 3 years of regulatory compliance experience in financial services.
• Working knowledge of UAE CMA or DFSA.
• Understanding securities dealing, OTC derivatives, CFDs, and spot FX.
• Experience preparing regulatory submissions and deadlines.
• Ability translate regulatory requirements into practical policies.
• Strong communication and stakeholder management.
• Excellent English; Arabic language skills are a plus.

Responsibilities

• Support daily regulatory compliance obligations under UAE CMA Category 1 licence.
• Monitor regulatory developments and maintain the Regulatory Change Log.
• Maintain 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.

Skills

Regulatory compliance

CMA/DFSA knowledge

Regulatory reporting

Stakeholder management

English proficiency

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!
• Volunteer Days: Make a difference! Take two additional paid days each year to support causes you care about and give back to the community.

Be a key player at the forefront of the digital assets movement, propelling your career to new heights! Join a dynamic and rapidly expanding company that values and rewards talent, initiative, and creativity. Work alongside one of the most brilliant teams in the industry.