Head of Compliance / MLRO (SVF)

Capital Com SV Investments Limited

Employer Active

Posted 6 hrs ago

Experience

8 - 14 Years

Job Location

Dubai - United Arab Emirates

Education

Bachelor of Arts, MBA/PG Diploma in Business Mgmt

Nationality

Any Nationality

Gender

Not Mentioned

Vacancy

1 Vacancy

Job Description

Roles & Responsibilities

Responsibilities
  • Regulatory ownership & external liaison: Act as the named CCO and MLRO with the CBUAE (independent of revenue functions) leading licence applications, onsite inspections, supervisory meetings, and on-time submission of all regulatory returns (AML, prudential, statistical, safeguarding). Approve marketing and financial promotions before release to ensure AML, conduct-risk, and consumer-protection compliance.
  • Compliance & governance framework: Design, implement, and continuously improve the compliance architecture covering SVF, AML/CFT, RPSCS overlaps, consumer protection, outsourcing, data-privacy, and cybersecurity. Chair (or co-chair) the Risk & Compliance Committee, maintain up-to-date registers, calendars, and policies, and deliver clear MI to the board.
  • Customer-fund safeguarding & operational controls: Establish and monitor segregation/escrow arrangements in line with CBUAE safeguarding rules, conduct periodic Risk & Control Self-Assessments (RCSA) and system gap analyses, and drive remediation through to closure.
  • AML/CFT & financial-crime programme: Oversee the full SAR/STR lifecycle, sanctions/PEP screening, transaction-monitoring rules, and fraud-detection controls, calibrating RegTech tools (e.g., ComplyAdvantage, Actimize). Own the Business-Wide Risk Assessment (BWRA) and ensure ongoing CDD/EDD with periodic customer-risk re-ratings. Serve as the primary FIU and law-enforcement contact.
  • Tech-enabled compliance & product advisory: Partner with Product, Engineering, and Data to embed controls in onboarding flows, payment rails, and new features (e.g., multicurrency wallets, joint accounts). Vet vendor integrations, APIs, and outsourcing arrangements for regulatory, data-privacy, and cybersecurity compliance.
  • Incident & complaint management: Investigate client complaints or operational incidents with potential regulatory, AML, or reputational impact; lead root-cause analysis; and report outcomes to the board and regulator as required.
  • Training, culture & stakeholder influence: Deliver mandatory AML/compliance training to all UAE staff, maintain training logs, and promote a culture of transparency and ethical conduct. Influence senior leadership to put compliance first in strategic decisions.
  • Regulatory-change surveillance: Track CBUAE circulars, UAE federal legislation, and FATF updates; conduct impact assessments; and execute timely policy and control updates to keep Capital.com ahead of regulatory evolution.

Desired Candidate Profile

Requirements
  • Academic: Bachelor s degree (minimum) in Law, Finance, Risk Management, Business, Economics, or a closely related field; postgraduate qualifications (MBA, LLM, MSc) are a plus.
  • Professional certifications: Recognised credentials such as CAMS, ICA Diploma, CFE, ACFCS or equivalent, demonstrating formal expertise in AML/CFT and compliance.
  • Compliance leadership experience: 8 12 years in compliance, AML/CFT, or regulatory affairs, ideally in fintech, payments, or e-money, with prior designation as CCO, MLRO, or Compliance Officer at a UAE-regulated institution (CBUAE, DFSA, or ADGM).
  • Regulatory & technical mastery: Deep, current knowledge of CBUAE SVF & RPSCS regulations, UAE AML/CFT Rulebook, FATF recommendations, FIU protocols, and standards on consumer protection, data privacy, outsourcing, and safeguarding/escrow of customer funds.
  • End-to-end programme design: Demonstrated success building or overhauling full-scope compliance frameworks, covering licence applications, BWRA, RCSA, transaction monitoring, SAR/STR processes, and ongoing CDD/EDD, through to positive regulatory inspections.
  • Board & audit engagement: Proven ability to brief boards, chair Risk & Compliance Committees, and manage independent AML/compliance audits, translating technical findings into actionable business decisions.
  • RegTech fluency: Hands-on familiarity with leading onboarding, screening, and transaction-monitoring platforms (e.g., ComplyAdvantage, Actimize, eKYC solutions) and a track record of embedding controls into digital product flows and APIs.
  • Communication & influence: Exceptional written and verbal skills for policy drafting, regulator correspondence, and cross-functional training; adept at steering product and engineering teams toward compliant solutions.
  • Language & location: Business-level English proficiency (CEFR B2 or higher); Arabic an advantage. Must be physically based in the UAE and readily available to engage with the CBUAE and other authorities.
  • Regulatory eligibility: Eligible to serve as the named CCO/MLRO, subject to CBUAE approval, with an unimpeachable ethical track record and commitment to fostering a culture of transparency.
Preferred Qualifications
  • Regional breadth: Direct experience liaising with multiple UAE regulators (e.g., SCA, DFSA, ADGM) or comparable jurisdictions.
  • Entrepreneurial mindset: Demonstrated passion for building compliant fintech products from the ground up. Comfortable balancing speed, innovation, and regulatory rigor.
  • Multilingual capability: Fluency in additional languages pertinent to the GCC region (e.g., Arabic, Hindi, Urdu, Russian) for broader stakeholder engagement.

Company Industry

Department / Functional Area

Keywords

  • Head Of Compliance / MLRO (SVF)

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Capital Com SV Investments Limited

We are a leading trading platform that is ambitiously expanding to the four corners of the globe. Our top-rated products have won prestigious industry awards for their cutting-edge technology and seamless client experience. We deliver only the best, so we are always in search of the best people to join our ever-growing talented team.

https://jobs.lever.co/capital/38d2f6bf-9938-4171-8e24-8e84f66d7c75