UAE Regulatory Compliance Lead

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

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