Compliance Support Officer

Dicetek LLC


Date: 4 hours ago
City: Dubai
Contract type: Contractor
Role Purpose

Provide short-term compliance support to the Licensed Compliance Officer, focusing on regulatory gap analysis, documentation and evidence testing.

  • Regulatory gap analysis
  • Policy & SOP support
  • Evidence testing and documentation
  • Readiness for DFSA thematic and emerging regulatory reviews

Candidate Profile

  • 5–8 years’ experience in compliance and risk.
  • Familiarity with DFSA rulebooks (GEN, COB, PIB – awareness level)
  • Strong documentation, tracking, and evidence-management skills
  • Highly organized, detail-oriented, process-driven
  • STRONGLY RECOMMENDED- DFSA experience

Core Responsibilities

The Compliance Support Officer will assist the LCO in performing general and targeted regulatory gap analyses, with specific attention to new or evolving DFSA requirements.

  • Mapping applicable DFSA rulebook requirements to:
  • Approved Policies
  • Standard Operating Procedures (SOPs)
  • Actual Operational Practices across Front office (sales / execution), Operations (settlement, custody interfaces, record keeping), Compliance & governance processes, Technology and data handling practices
  • Identifying gaps between:
  • DFSA regulatory requirements
  • Documented internal controls
  • Day-to-day operational execution

(Including situations where policies exist but are not consistently evidenced in practice.)

  • Primary focus areas:

3.1 Brokerage & Execution Activities

  • Order handling and execution workflows

Clear Delineation Between:

  • Execution-only services
  • Any advisory or non-advisory elements
  • Best execution obligations:
  • Execution policies
  • Monitoring methodology
  • Review frequency
  • Evidence of oversight
  • Conflicts of interest in execution and order routing
  • Fee and commission disclosures

Gap Focus:

  • Policy vs actual execution practice
  • Monitoring performed vs monitoring evidenced
  • Governance oversight of execution quality

3.2 Client Suitability, Appropriateness & Classification (Non-AML)

Assess Compliance With DFSA Rules Relating To:

  • Client classification (Retail / Professional / Market Counterparty)
  • Appropriateness assessments for products and services
  • Suitability disclosures (where applicable)
  • Product eligibility and client consent
  • Ongoing review triggers and documentation

Gap Focus:

  • Completeness of documentation
  • Alignment with SOPs
  • Evidence of review and escalation

3.3 Operational Processes & Controls

Evaluate Operational Compliance Across:

  • Trade booking and confirmation processes
  • Settlement and custody interfaces
  • Use of third-party brokers, custodians, and service providers
  • Incident handling and escalation
  • Record-keeping standards

Gap Focus:

  • Operational practices deviating from SOPs
  • Manual controls not sufficiently documented
  • Reliance on informal processes without evidence

3.4 Data Protection, Record Retention & Communications

Review Of DFSA-relevant Obligations Around:

  • Approved communication channels
  • Client communication controls
  • Record retention and retrieval
  • Access controls and data handling procedures
  • Oversight of outsourced or third-party data processors (TPA-related)

Gap Focus:

  • Communication happening outside approved channels
  • Incomplete or inconsistent record retention
  • Lack of documented oversight for data handled by third parties

3.5 New & Enhanced DFSA Regulations

Support the LCO in reviewing Ark Capital’s readiness for:

  • Newly introduced DFSA rules
  • Enhanced guidance or supervisory expectations
  • Thematic review focus areas
  • Third-Party Arrangements (TPA) and outsourcing obligations

Gap Focus:

  • Policies not updated to reflect new rules
  • SOPs not yet aligned
  • Oversight evidence missing or incomplete

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