CCO – CHIEF COMPLIANCE OFFICER – DUBAI@Marlin Selection posted 2 weeks ago
50-70k AED per month
A great opportunity has arisen to join a Global Financial Services Firm as CCO in Dubai covering EMEA.
Your duties will include:
- Lead Compliance strategy for the EMEA region, with Compliance heads in each jurisdiction reporting to the incumbent on a solid or dotted line basis, as well as coordinating with global Compliance management.
- Maintains a culture of compliance for the EMEA region, working with brokers and employees across the EMEA region to identify and understand Compliance and regulatory risks.
- Partners with brokers and management to provide compliance advice.
- Ensures policies and procedures comply with appropriate laws, regulations, and industry guidance for each jurisdiction.
- Oversees the EMEA Compliance monitoring programme, including in relation to market abuse.
- Keeps abreast of new rules and regulations, as well as enforcement actions published by regulators, and how they affect the business activities of the firm to ensure the firm’s policies and procedures are up to date.
- Oversees new compliance initiatives for the EMEA region, including those mandated by regulatory change and as part of global function.
- Develops, coordinates, implements, and reviews processes enhancing regulatory compliance and reducing risk.
- Partners with global Compliance colleagues regularly to understand key programs and initiatives underway and how those may impact the EMEA region, as well as communicate regional updates.
Qualifications, Experience and Skills Required:
- 15 years of compliance or regulatory experience.
- Significant futures and options experience required.
- Proven ability to forge consensus amongst senior management at a regulated firm and to build a culture of compliance.
- Ability to develop and maintain constructive relationships with brokers.
- Strong knowledge of DFSA, FCA, and/or AMF/ACPR regulations and rules and the UAE, UK, and/or French/EU regulations applicable to financial services firms.
- Excellent written and oral communication skills and analytical ability.
- Extensive experience in dealing with senior compliance and regulatory staff at the various exchanges and regulatory agencies.
- Ability to mentor and grow the skills of mid-level and junior staff.
- Must be proactive, adaptive, and motivated.
- Ability to understand and breakdown complex trading strategies.
- Able to work on multiple projects and assignments at the same time and prioritize appropriately to meet deadlines.
- Ability to reach sound judgments and act quickly under tight deadlines.
- Knowledge of trade surveillance software preferred.