We're looking for an experienced Senior Compliance Manager to lead compliance for our Dubai office. This is a senior, generalist role with responsibility for ensuring the business operates in line with regulation, while supporting sustainable growth and protecting the reputation, assets and effectiveness of CMC Markets.
Reporting to the UK Head of Compliance, you'll act as a trusted adviser to the business, providing practical, proportionate compliance guidance in a fast-paced, regulated environment.
What you'll be doing
This is a broad, hands-on role covering all aspects of compliance, including:
- Owning day-to-day compliance activity for the Dubai office, providing advice and solutions to the business and senior leaders, particularly the SEO
- Acting as the DFSA-authorised Compliance Officer and MLRO, fulfilling all duties under the DFSA AML Rulebook
- Ensuring the business operates within relevant regulatory requirements and promoting a strong compliance and risk culture
- Maintaining close collaboration and communication with the UK Head Office
- Liaising with regulators and external parties, including the DFSA, FCA, and internal and external auditors
- Reviewing and approving financial promotions, client communications and all client-facing documentation
- Overseeing KYC and AML processes in line with local regulations and Group policies, supporting the Group MLRO
- Delivering compliance training, tailored to business activities and current regulatory themes
- Horizon scanning to assess the impact of regulatory changes on the region and wider Group
- Developing and maintaining policies and procedures in response to a changing regulatory landscape
- Conducting risk-based monitoring in line with agreed review plans
- Producing monthly and ad hoc compliance reporting, escalating issues and breaches where required
- Working collaboratively with Compliance Managers across our global offices, sharing best practice
- Supporting the complaints handling process, particularly escalated cases
- Maintaining continuous professional development to meet the evolving demands of the role
What we're looking for
- DFSA approval (or the ability to obtain approval) as a senior manager responsible for compliance, meeting GEN 7.6.3 requirements
- At least 5 years relevant regulatory experience, ideally within retail financial services
- Strong knowledge of DFSA rules and UK financial services regulation.
- A naturally analytical and enquiring mindset, with the confidence to challenge where needed
- Proven ability to build effective working relationships across the business
- Previous experience in a compliance generalist role
- Resident in the UAE, with prior experience working in the DIFC
Why CMC Markets
CMC Markets is powered by our people. We're committed to creating a diverse and inclusive workplace where everyone feels valued, supported and able to do their best work. We actively seek out different perspectives because we know they lead to better outcomes for our people, our clients and our business.
