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Compliance Manager

3 months ago

Dubai, Dubai, United Arab Emirates CMC Markets Full time

Background to & purpose of the role:

The Compliance Manager will have primary responsibility for the compliance of the activities of the Dubai office ("CMCME") with DFSA regulation, supporting the sustainability of the business and promoting and protecting the reputation, assets and effectiveness of CMC Markets through the delivery of compliance services and advice.

The role reports to the UK Head of Compliance.

This is a compliance generalist role so it has broad scope and responsibilities will include:

  • Responsible for day-to-day compliance, providing advice & solutions to the business and individual employees, in particular the SEO
  • The Compliance Manager will act as the DFSA authorized CO/MLRO and perform all duties specified in Clause 11.4 of the DFSA AML Rulebook.
  • The Compliance Manager will ensure that the business is operating within the relevant regulations and promote a positive Compliance and risk management culture within the office
  • Maintain and promote communication with the UK Head Office
  • Liaise when necessary with external bodies such as auditors (both internal and external), the Dubai Financial Services Authority, UK Financial Conduct Authority (FCA)
  • Review and approve financial promotions, communications with clients and all other client facing documentation
  • Ensure KYC and AML checks are carried out in accordance with local regulatory requirements and the Group's internal policies, supporting the Group Money Laundering Reporting Officer
  • The Compliance Manager will deliver any required compliance training to staff, focusing on key aspects of the business and current regulatory issues
  • Horizon scanning and investigation of the impact to the region and/Group of any rule changes or updates
  • Development of company and subsidiary's procedures in line with the changing regulatory environment
  • The Compliance Manager will be responsible for risk based monitoring in accordance with an established review plan
  • Provide monthly and ad hoc reporting including confirmation that procedures are being complied with and escalate any breaches
  • Work collaboratively with Compliance Managers across our Global offices, and sharing best practices
  • Assist with complaints handling process, in particular escalated complaints
  • Undertake such other duties, training and/or hours of work as may be reasonably required, and which are consistent with the general level of responsibility of this role including requirements mandated by the DFSA Rulebook for the authorised roles of CO/MLRO.

KEY SKILLS AND EXPERIENCE

  • Previous/current DFSA approval or ability to obtain DFSA authorisation as a senior manager with responsibility for compliance matters (perform a Licensed Function) meeting the requirements of GEN 7.
  • Minimum 5 years relevant regulatory experience specific to retail clients
  • Analytical and enquiring nature, ability to solve problems and ability to challenge
  • Able to build a good working relationship with the business
  • Previous generalist experience
  • Resident in the UAE and previous experience working in the DIFC
  • CMC Markets is powered by our people. We are an equal opportunities employer and are committed to creating a diverse and inclusive workplace, where our people feel confident to be themselves, feel valued and are able to do their best work. We don't just value differences and unique perspectives, we seek them out and we invite them in, because we know it will lead to better outcomes for everyone