About FP Trading FP Trading is a fast-growing, multi-regulated Forex and CFD brokerage offering more than 1,000 trading instruments across MT4, MT5, c Trader and Web Trader.
As we continue to expand our operations across multiple jurisdictions, we are looking for a Compliance Officer to join our team in Dubai and support the business across regulatory, operational and corporate compliance matters.
This role is focused primarily on regulatory and business compliance rather than client onboarding/KYC processing. The successful candidate will work closely with management and different functions across the business to ensure that our operations, policies and activities remain aligned with applicable regulatory requirements.
Responsibilities Monitor the company's ongoing compliance with applicable laws, regulations, regulatory licences and internal policies. Keep up to date with regulatory developments and assess their potential impact on the business. Assist in interpreting regulatory requirements and providing practical compliance guidance to different departments. Draft, review and maintain compliance policies, procedures, manuals and internal controls. Conduct periodic compliance monitoring and internal reviews to identify potential regulatory risks, control gaps or areas requiring improvement. Identify and escalate potential compliance breaches and support the business with appropriate corrective and remediation measures. Assist with regulatory filings, returns, notifications and other ongoing reporting requirements. Support licence applications, licence renewals and other regulatory submissions where required. Maintain regulatory records, registers and supporting documentation. Liaise with regulators, auditors, external consultants and other relevant third parties when required. Support preparations for regulatory inspections, audits and compliance reviews. Review marketing materials, promotions, website content and client communications from a regulatory compliance perspective. Review new products, services, processes and business initiatives to identify potential compliance considerations before implementation. Support the monitoring and management of conflicts of interest and other conduct-related compliance requirements. Assist with the oversight of outsourced service providers and third parties from a compliance perspective. Monitor adherence to applicable requirements relating to areas such as client communications, trading practices, best execution, complaints and business conduct. Prepare compliance reports and updates for senior management as required. Work closely with Legal, Operations, Finance, Risk, Marketing and other departments to promote a strong compliance culture across the business. Support AML, sanctions and financial crime compliance matters where required, while working alongside the teams responsible for day-to-day customer onboarding and verification. Undertake other compliance-related projects and responsibilities as the business and regulatory environment evolve.
Candidate Profile3–5 years of relevant Compliance experience within financial services. Previous experience within a Forex, CFD, brokerage, securities, investment or online trading business is required. Good understanding of regulatory compliance requirements applicable to financial services and brokerage businesses. Experience working with regulatory policies, compliance monitoring, regulatory reporting and internal controls. Familiarity with regulatory inspections, audits and regulator communications would be advantageous. Good understanding of AML, sanctions, financial crime and client protection requirements. Exposure to trading platforms and brokerage operations such as MT4, MT5 or c Trader would be an advantage. Ability to interpret regulations and translate them into practical business requirements. Strong analytical skills with excellent attention to detail. Confident written and verbal communication skills. Comfortable working with stakeholders across different departments and levels of seniority. Ability to manage multiple compliance requirements and priorities in a fast-moving environment. Bachelor's degree in Law, Finance, Business, Compliance or a related discipline. Professional compliance qualifications such as ICA, ACAMS or equivalent would be advantageous. Experience within the UAE financial services environment would be beneficial.