Compliance Officer

About This Role

The Compliance Officer plays a crucial role in ensuring that FP Trading adheres to regulatory obligations while navigating the complexities of the UAE Capital Market Authority (CMA). This position is ideal for someone with a strong legal foundation and direct experience in regulatory compliance within the financial services sector, particularly in forex and CFD brokerage operations.

Responsibilities

• Monitor compliance with license conditions, regulatory requirements and internal policies. Track regulatory changes and explain what they mean for the business.
• Write and update compliance policies, procedures and controls so they reflect both regulatory requirements and how the business works.
• Carry out compliance reviews, identify gaps or potential breaches, and follow through on corrective actions with the relevant teams.
• Prepare regulatory returns, notifications and submissions; manage ongoing license requirements and renewals, and maintain accurate records and registers.
• Act as a key contact for the CMA, manage regulatory correspondence and help prepare for inspections and audits.
• Review marketing, website content, promotions and client communications, and assess compliance requirements for new products and business initiatives.
• Monitor business conduct, including conflicts of interest, complaints, trading practices, best execution and client protection, as applicable to each entity.
• Support compliance oversight of outsourced providers, and assist with AML, sanctions and financial crime matters where needed.
• Keep management informed of key risks, outstanding actions and deadlines, and help teams resolve compliance questions as they arise.

Requirements

• 3 - 5 years of compliance experience in financial services, including hands-on regulatory compliance work within a forex, CFD or online trading brokerage.
• Direct UAE CMA/SCA experience with regulatory filings, licensing requirements, compliance monitoring and regulator correspondence.
• A good understanding of brokerage operations, client protection, AML and sanctions requirements. Familiarity with MT4, MT5 or cTrader is useful.
• Sound judgement, attention to detail and clear communication. Able to turn regulations into practical actions and follow through on concerns.
• A law degree (LLB or equivalent) and a legal or regulatory background are strongly preferred. ICA, ACAMS or similar qualifications are an advantage.
• Able and willing to hold the company’s designated compliance appointment with the CMA, subject to regulatory approval. Previous CMA/SCA approval in a relevant compliance role is a strong advantage.

Benefits

• Competitive salary and performance-based bonuses.
• Opportunities for professional development and training.