Jobs in Al Ain, United Arab Emirates

• Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.
• Investigate alerts and elevate potential issues to senior compliance leadership.

• Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.
• Engage with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.

• Conduct periodic testing to ensure the firm’s policies and procedures are followed, particularly around surveillance, trade reporting and position management.
• Assist in the development and execution of the annual compliance testing plan.

• Maintain and update internal compliance policies in response to regulatory developments.
• Assist with training staff on compliance policies and regulatory changes.

• Support responses to regulatory inquiries and audits.
• Prepare documentation and reports for internal and external stakeholders as needed.

• Bachelor’s degree in Finance, Economics, Legal Studies or a related field.
• 3 years of experience in a compliance or trade surveillance role at a broker‑dealer, asset manager, or futures commission merchant (FCM).
• Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA and international equivalents).
• Familiarity with surveillance systems (e.g., SMARTS, Actimize, Eventus or similar platforms).
• Experience with position limit frameworks and exchange rules across major global markets.

• Experience with both futures and equities markets.
• Working knowledge of algorithmic trading order types and market structure.
• Previous involvement in regulatory exams or inquiries.
• Proficiency in data analysis (Excel, SQL, Python a plus).
• Strong written and verbal communication skills.

Yes

Fulltime