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Compliance Officer

Company

Dolphin Markets

Location

dubai, dubai

Posted

July 02, 2026

Position Overview

Key Responsibilities
  • Identifying compliance risks and advising on appropriate policies, procedures, systems, and controls.
  • Documenting the organization, responsibilities and procedures of the Firm's compliance function.
  • Ensuring compliance breaches are readily identified, reported, and acted on.
  • Keeping senior management up to date on changes in relevant regulations and their implications.
  • Preparing the Firm for risk assessment visits.
  • Reviewing the Firm's marketing materials.
  • Processing applications for the registration and withdrawal of individuals.
  • Ensuring that employees receive training on what must or must not be done to ensure compliance.
  • Liaising with the regulator and ensuring all regulatory returns and ad hoc notifications are submitted on time.
  • Maintaining the Firm's regulatory files and registers.
  • Providing support and training to the group's Compliance Offic...

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