Compliance Manager

3 weeks ago

Dubai, United Arab Emirates Mercato Brokers (Mercato Trading) Full time

The Role
**Job Summary**: The Compliance Manager (Officer) is responsible for ensuring that the organization adheres to the regulatory requirements set forth by the Securities and Commodities Authority (SCA) for Category One companies. This role involves revising, implementing, and overseeing policies and procedures that align with SCA regulations, managing compliance audits, and providing guidance to management on regulatory matters. Key Responsibilities: Regulatory Compliance Management - Develop (if required), review and implement compliance policies and procedures that adhere to SCA regulations and ensure they are integrated across all business operations. - Continuously monitor regulatory updates from the SCA and assess their impact on business practices. - Conduct regular compliance audits to identify areas of non-compliance, report findings, and implement corrective actions to mitigate risks. - Act as the primary liaison with the SCA, ensuring all mandatory reports, disclosures, and filings are completed accurately and submitted on time. Policy Development and Enforcement - Create, review, and update compliance-related policies and ensure they are accessible and comprehensible to all staff. - Enforce compliance standards throughout the organization by establishing clear policies on ethical behavior, anti-money laundering (AML), counter-terrorism financing (CTF), data protection, and information confidentiality. - Work closely with the Risk Management team & finance team to ensure that compliance policies align with risk management protocols and finance & accounting policies. Compliance Training and Communication - Design and conduct training programs to ensure that all employees, particularly those in trading, operations, and client-facing roles, understand their compliance responsibilities. - Provide clear and effective compliance guidance to management and staff, addressing inquiries related to regulatory requirements. - Maintain up-to-date compliance documentation, including manuals, training materials, and policy briefs for staff. Compliance Audits and Reporting - Plan and execute compliance audits, assessing processes for adherence to regulatory standards and identifying gaps or risks. - Prepare comprehensive reports for management and the SCA, summarizing audit results, corrective measures, and areas requiring improvement. - Monitor and document any compliance breaches or incidents, investigating their causes, and coordinating with relevant departments to prevent recurrence. AML, CTF, and Client Due Diligence - Implement and oversee Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) programs to detect and prevent illicit activities. - Conduct ongoing client due diligence (CDD) and enhanced due diligence (EDD) for high-risk clients, ensuring compliance with KYC (Know Your Customer) regulations. - Report suspicious transactions to the relevant authorities, in alignment with SCA mandates, and maintain records as per regulatory requirements. Whistleblowing and Ethical Reporting - Manage and enforce a whistleblowing policy to encourage employees to report ethical or regulatory violations confidentially and without fear of retaliation. - Establish a secure and confidential channel for reporting compliance breaches and ensure reported matters are investigated thoroughly and objectively. Record Keeping and Confidentiality Management - Ensure that all compliance-related records, including client information, audit reports, and training logs, are maintained securely and are readily accessible for regulatory reviews. - Develop policies and guidelines to maintain the confidentiality of sensitive information, ensuring compliance with data protection laws and SCA standards.
**Requirements**:
**Qualifications**: - Education: Bachelor’s degree in Law, Finance, Business Administration, or a related field. A Master’s degree or professional certification in compliance is highly preferred. - Experience: Minimum of 5 years of experience in compliance management or regulatory roles within the firms authorized by SCA under Category One, with a strong understanding of SCA regulations and compliance best practices. Technical Skills: - Proficient in compliance software and regulatory reporting systems. - Strong knowledge of AML and CTF regulations, as well as KYC and CDD procedures. Core Competencies: - High level of integrity and ethical standards. - Excellent analytical and problem-solving skills, with the ability to interpret complex regulations. - Strong attention to detail and the ability to manage multiple tasks with a high degree of accuracy. - Effective communication skills, with the ability to present complex information clearly to a range of audiences. - Ability to work independently while maintaining confidentiality and exercising sound judgment. Work Environment: - This position may involve occasional travel to regulatory meetings, compliance training sessions, or external audits.
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