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Dolphin Markets | dubai, United-Arab-Emirates | 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...