Head of Compliance - Dubai
On-siteDubai, Dubai, United Arab Emirates
Job Summary
Lead the Compliance division at LMAX Group's new Dubai office by acting as the primary point of contact for the Securities and Commodities Authority (SCA/CMA) and managing all regulatory filings, information requests, and supervisory inspections. Develop, implement, and maintain the firm's Compliance Manual and internal policies, ensuring they reflect the most recent SCA/CMA circulars. Perform the final compliance sign-off on all promotional material and client-facing communications, oversee transaction monitoring for global entities, and manage regulatory audits and inspections. Act as the firm's Money Laundering Reporting Officer (MLRO), overseeing the entire AML/CFT framework, including internal controls, risk assessments, and reporting mechanisms via the goAML portal. Provide expert guidance and training to staff on compliance matters and ensure effective communication with regulatory bodies and external auditors.
Required Qualifications
- University degree
- Minimum of 5 years' experience in financial markets or relevant fields
- Diploma with at least 10 years' experience in similar areas
- Master Financial Controller
- Certified Internal Auditor (CIA)
- Chartered Development Finance Analyst
- Certified Management Accountant (CMA)
- Certified Public Accountant (CPA)
- ICA Certificate in Compliance
- ICA International Advanced Certificate in Regulatory Compliance
- ICA Advanced Certificate in Legal Compliance
- ICA Certificate in Regulatory
- Relevant certifications for anti-money laundering tasks such as ICA International Advanced Certificate in Anti Money Laundering
- ICA Advanced Certificate in Practical Client Due Diligence
- ICA Advanced Certificate in Managing Fraud
- ICA Advanced Certificate in Managing Sanctions Risk
- ICA Specialist Certificate in Financial Crime Risk in Global Banking and Markets
- ICA Specialist Certificate in Money Laundering Risk in New Technology
- Certified Anti‐Money Laundering Specialist (ACAMS)
- Successful completion of exams on UAE Financial Rules and Regulations and Combating Financial Crime
- Commitment to ongoing Continuous Professional Development (CPDs) in Global Financial Compliance
- Strong leadership skills
- Strong communication skills
- Strong stakeholder management skills
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.