Head of Compliance Operations

About the Role

The Compliance Officer will oversee regulatory compliance for the firm's brokerage operations in the Middle East. This includes ensuring adherence to local and international regulations governing financial services, trading activities, anti-money laundering (AML), and client onboarding. The role also involves working closely with regulators (e.g., DFSA, ADGM, CMA, SCA) and internal stakeholders to build a robust compliance framework that protects the firm from legal and reputational risks.

Reporting Line : Global Head of Compliance

Worksite : Hybrid

Responsibilities :

Regulatory Compliance

Ensure compliance with local financial regulatory bodies (e.g., DFSA, ADGM, SCA, CMA).

Track, interpret, and implement changes in laws and regulations related to brokerage and financial services.

Manage regulatory licensing, audits, inspections, and ongoing obligations.

AML / CTF Oversight

Act as the appointed MLRO , ensuring full compliance with anti-money laundering and counter-terrorist financing regulations.

Oversee KYC / CDD processes, suspicious activity monitoring, and reporting of SARs / STRs.

Brokerage Support

Manage day-to-day operations of local entities and branches

Handle client and regulatory external inquiries

Support emerging matters for Exante worldwide

Internal Controls & Monitoring

Develop and implement risk-based compliance monitoring programs and controls.

Conduct regular reviews and testing of trading activities, client onboarding, and internal processes.

Policy & Procedure Management

Draft, update, and implement compliance policies and procedures in line with regional and global standards.

Advise internal departments (e.g., trading, client services, operations) on compliance obligations.

Training & Advisory

Provide compliance training to employees, particularly front-office and trading teams.

Serve as the point of contact for compliance queries across the business.

Reporting

Report compliance risks, breaches, and key metrics to senior management and regulators.

Maintain compliance records and prepare documentation for audits or regulatory inquiries.

Cross-Border Collaboration

Align regional compliance practices with group / global compliance frameworks.

Ensure the firm adheres to international regulations such as FATF, MiFID II (if applicable), and sanctions programs (e.g., OFAC, UN, EU).

Qualifications

Bachelors degree in Finance, Economics, or a related field. A Master's or professional certification (e.g., ICA, ACAMS, CFA, CCO) is preferred.

Minimum 5 - 8 years of compliance experience in a brokerage firm, investment firm, or financial services provider in the Middle East.

Direct experience with Middle East regulators (e.g., DFSA, ADGM, SCA, CMA).

Strong understanding of securities regulations, trading platforms, and brokerage operations.

Familiarity with AML systems, sanctions screening, and regulatory reporting tools.

Strong ethical judgment and high integrity.

Proactive, detail-oriented, and able to manage multiple deadlines in a fast-paced environment.

Ability to communicate compliance risks clearly to non-compliance professionals.

Fluent in English (required); Arabic proficiency is a plus.

Personality / Mindset

Integrity & loyalty

Team player with advanced communication and collaboration skills

A hands-on, can-do attitude - always looking for solutions and thinking out of the box

Overachiever mentality

Capability to work and succeed in the fast pace and ever-changing environment

We Offer

Competitive salary

Corporate benefits (choose your preferred options)

Truly inspiring culture, pleasant and informal work environment

Ongoing education & training programs

Opportunity to network and connect in the Corporate Events

Global career opportunities

• Benefits / perks can vary depending on the nature of your employment with the company and the countrywhere you work

A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.