Wholesale Compliance Lead (DFSA/DIFC)

StoneX; Dubai; Hybrid; AED 300,000 - 520,000; Full time

Job summary

StoneX is seeking a Compliance Officer in Dubai DIFC to implement and manage the DFSA-regulated control framework for R.J. OBri en (MENA) Capital Limited's financial services.

The role serves as the principal liaison with the DFSA to cultivate a robust compliance culture within the firm. You will support the Head of Wholesale Compliance, monitor regulatory developments, design policies, oversee investigations, and train staff while ensuring adherence to DFSA rules and UAE regulations.

Qualifications

• Bachelor's degree in a relevant field.
• 5+ years in a compliance role within the financial services sector.
• Strong understanding of DFSA regulations and UAE financial services rules.
• Experience with futures and options.
• Proven ability to engage regulators and senior management.

Responsibilities

• Support the Head of Wholesale Compliance in providing assurance by monitoring regulatory developments and offering advice to other units.
• Participate in firmwide projects implementing new regulations.
• Design and maintain Compliance Departments policies and procedures.
• Analyze and interpret relevant laws and regulations and identify changes affecting the business.
• Produce MI reports for senior management on Compliance activities.
• Supervise and develop Compliance staff.
• Perform deep-dive ad hoc monitoring tasks requiring technical expertise (e.g. transaction reporting).
• Own investigations to resolve ad hoc queries from regulators.
• Design and present staff training.
• Promote the highest standards of integrity and ethical conduct within the firm and with regulators.

Skills

Regulatory compliance

Attention to detail

Analytical thinking

Communication skills

Ethical judgement

Problem-solving

Organisational skills

Leadership

Collaboration

Education

Bachelor's degree

Professional compliance certification (e.g. ICA ACAMS CISI)

Job description

StoneX is seeking a Compliance Officer in Dubai DIFC to implement and manage the DFSA-regulated control framework for R.J. OBri en (MENA) Capital Limited's financial services.

The role serves as the principal liaison with the DFSA to cultivate a robust compliance culture within the firm. You will support the Head of Wholesale Compliance, monitor regulatory developments, design policies, oversee investigations, and train staff while ensuring adherence to DFSA rules and UAE regulations.