Regulatory Compliance Manager
Location: DIFC, Dubai
Type: Full-time, On-site
Reports to: Head of Compliance / MLRO
Salary: 25,000 - 30,000 AED Per Month.
About The Role
An established DIFC-based financial firm is seeking a Regulatory Compliance Manager to join its growing team.
This role offers a broad remit across the Compliance function, supporting senior Compliance leadership in maintaining, enhancing, and embedding a robust Compliance Control Framework.
The successful candidate will have strong technical regulatory knowledge within the retail/brokerage space (CFD, FX, or commodities).
A background in Regulatory Compliance Advisory or Legal/Regulatory policy will be highly advantageous.
Key Responsibilities
- Marketing Compliance: Review and approve promotional materials; maintain marketing policies and deliver conduct training.
- Market Abuse & Insider Dealing: Develop and execute MAR controls, contribute to risk assessments, generate MI, and support STOR investigations and filings.
- Complaint Handling: Maintain the complaints register, assist with investigations, and manage communication with complainants.
- Policies & Framework: Update and maintain Compliance policies, SOPs, registers (PA Dealing, Gifts & Entertainment, Breaches, STORs), and associated risk assessments.
- Training: Design and deliver Compliance induction and refresher training.
- Governance & Reporting: Prepare Compliance MI and contribute to Committee governance.
- Advisory & Projects: Provide Compliance input for new products, systems, or business initiatives, ensuring alignment with DFSA regulatory expectations.
- Cross-Departmental Support: Collaborate closely with Legal, Operations, Middle Office, and IT to deliver timely and accurate Compliance advice.
- Ad Hoc & Strategic Projects: Support ongoing regulatory initiatives and compliance enhancements as directed by senior Compliance leadership.
Experience
- 5-8 years experience in Regulatory Compliance or Compliance Advisory within a brokerage, trading, or investment firm.
- Strong understanding of DFSA rules, Conduct of Business (COB), and AML/CTF regulatory frameworks.
- Excellent knowledge of Market Abuse, Complaints, and Marketing Conduct controls.
- Proven experience developing and delivering Compliance Monitoring Programs (CMPs) and policies/SOPs.
- Background in Law, Finance, or related field (strong educational and legal foundations desirable).
- Strong communication, project management, and stakeholder engagement skills.
Why Join
- Work directly alongside senior Compliance professionals in a DFSA-regulated environment.
- Engage with high-impact regulatory projects across multiple business lines.
- Join a collaborative and ambitious team focused on setting new standards in regulatory excellence.
If you have a passion for regulatory precision, brokerage experience, and a drive to shape best-in-class compliance culture, be sure to apply!
