Position: Compliance Officer
Location: Dubai
GoDo Introduction Financial Service LLC (SCA-regulated) international brokerage firm is looking for a Compliance Officer(SCA Licensed) to join its team. As a Compliance Officer within our organization, you will be responsible for ensuring that our operations comply with the regulations set forth by the Securities and Commodities Authority (SCA). Your role will involve implementing and maintaining compliance procedures, monitoring regulatory changes, and providing guidance to ensure adherence to regulatory requirements.
Education& Experience
- University Degree along with experience of not less than 5 years in financial markets or in the relevant field.
- Diploma or equivalent, coupled with a minimum of 10 years of experience as an Officer in Financial Markets or a relevant field (finance, business administration)
- Alternative Qualification and Experience
- Minimum of 10 years of experience as an Officer in Financial Markets or relevant fields,
alternatively accompanied by one of the following qualifications:
- Master Financial
- ICA Certificate in Compliance
- ICA Combating Financial Crime
- ICA International Advanced Certificate in Regulatory Compliance
- ICA Advanced Certificate of Legal Compliance
- ICA Certificate in Regulatory
- ICA International Advanced Certificate in AML
- ICA Advanced Certificate in PCDD
- ICA Advanced Certificate in Managing Funds
- ICA Advanced Certificate in Managing Sanctions Risk.
- ICA Specialist Certificate in Financial Crime Risk in Global Banking and Markets
- ICA Specialist Certificate in MLR in New Technology
- ACAMS
KEY RESPONSIBILITIES
- Reviewing and auditing the organization's adherence to compliance procedures
- Handling communications with the Regulator(s), obtaining approvals as required, notifying the Regulator as required for all compliance-related matters;
- Provide training to employees on compliance-related matters, including SCA regulations and internal policies.
- Prepare and submit regulatory reports and filings to the SCA as required.
- Serve as the main point of contact for regulatory inquiries and examinations conducted by the SCA.
- Maintain documentation and records related to compliance activities, including policies, procedures, and audit findings.
- Stay informed about industry best practices and developments in regulatory compliance.
- Monitor changes in SCA regulations and communicate updates to relevant stakeholders.
- Maintaining a register of complaints, conflicts of interest, compliance and data breaches, and actively manage adherence to the complaints process and mitigation of breaches;
- Investigate and resolve compliance issues or breaches identified through monitoring
- activities or internal reporting.
- Collaborate with internal teams to ensure that products and services comply with SCA regulations.
- Develop and implement compliance policies and procedures in accordance with SCA regulations.
- Conduct regular audits and reviews to assess compliance with regulatory requirements.
Language:
- English is must
- Arabic is a plus
About GoDo group of companies licensed by FSC, SCA and adding faster-providing trading services in financial instruments such as Forex, Stock Indices, Gold, Oil, and CFDs on Stocks to retail and institutional clients with offices at Mauritius, Dubai, Lebanon, and India. We are a small and agile team with a great track record of achieving what we set out to do and want our clients to stay with us. So, we've built our business around being on our clients side and wanting them to trade profitably. Our goal is to provide our clients with a superior, peerless trading experience, and the best pricing then pairs it with the latest state-of-the-art trading technology, regulation, and top-notch service for a healthy online trading experience. Our trading services are suitable for clients of all backgrounds and knowledge levels, from those who have never traded before to experienced professional traders. We build Godo as a next-generation broker on old-fashioned values of honesty, transparency, and trust.
