Regulatory Compliance Officer – Remote/Global Work

Capital; Dubai; Sur place; AED 200 000 - 350 000; Plein temps

Avantages offerts par ce poste

Competitive salary

Work-Life harmony

Generous time off

Employee referral program

Comprehensive health benefits

Workation 30 days remote work

Volunteer days

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

Regulatory compliance

CMA/DFSA knowledge

Regulatory reporting

Stakeholder management

English proficiency

Description du poste

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