Regulatory Compliance Manager

1 day ago

United Arab Emirates Dubai ETRA Talent Full time

Job Description 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

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