Regulatory Compliance Officer

Capital Com SV Investments Limited
Department Icon Risk Management & Compliance
Posted: 1 week ago
3-6 years
Dubai - United Arab Emirates
Risk Management & Compliance
work from office
Full Time
Closes 29 Dec 2026
Posted: 1 week ago
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Job Description
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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!

    Skills

    ComplianceRegulatory ComplianceRegulatoryRegulatory RequirementsRegulatory SubmissionsCompliance Officer

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