Compliance Officer - Brokerage

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Location : Dubai
Post Date :

Description :

The Role

  • The principle role is to support the Brokerage compliance function with essential On-Boarding of our FX Retail clients.
  • You will also ensure that policy and protocols are applied consistently and uniformly and in line with applicable regulatory requirements.
  • The role will also diversify into specific projects that will involve sensitive clients and their structure so Chinese Walls must be maintained.

Key Responsibilities:

  • Support the compliance team in the implementation of the compliance framework
  • Support the development of appropriate processes, policies, procedures and associated standard documentation which are designed to mitigate compliance risk
  • Expedient Complaint escalation To the VP
  • Ensure members of the Sales team receive their annual compliance training and record all details of CPD
  • Provision of regular and ad-hoc reports to management in respect of compliance activities as well as instances of regulatory issues identified within the role
  • Complete a holistic overview of historic clients and perform an updated rolling due diligence and future proof timetable going forward. All information will be recorded electronically in the new KYC management tool
  • Liaison with the Head of Compliance as and when required.
  • Reverse KYC for counterparties on a rolling and new business basis
  • Any other duties, responsibilities and/or objectives as may be determined by the Company from time to time

Candidate Requirements

  • Bachelor Degree Holder
  • At least 4 years' experience working in a Foreign Exchange/Commodities Brokerage Regulated Firm
  • Experience of working within a compliance function.
  • A combination of exposure to both the UK and a top tier regulatory jurisdiction
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Dubai International Financial Centre (DIFC)
Gate Village 1, Level 1
Phone : +971 (0) 4 382 6700

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