Compliance Officer

FP Trading is a growing forex and CFD brokerage offering more than 1,000 instruments across MT4, MT5, cTrader and WebTrader.

We are looking for a Compliance Officer with a strong legal foundation and direct experience with the UAE Capital Market Authority (CMA), including the former SCA framework.

You would understand how a brokerage operates and can help the business keep pace with its regulatory obligations as we grow across markets.

Your focus will be regulatory and business compliance. You will work on policies, monitoring, reporting and regulatory submissions, giving teams clear, practical guidance on what they need to do.

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.

Candidate Profile

• 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.

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