Compliance Officer

Company

Dolphin Markets

Location

dubai, dubai

Type

Full-time

            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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