Head of Compliance Operations

Company & Culture

EXANTE is a pioneering wealth tech company that delivers cutting-edge centralized trading solutions and robust B2B financial infrastructure, driving value through innovative technology. Our proprietary trading platform offers seamless access to diverse financial instruments- including stocks, ETFs, bonds, futures, and options- all within a single, multi-currency account.

We cultivate a culture that transcends the ordinary, where rapid responses to market dynamics and proactive problem-solving are the norm. At EXANTE, the potential to make a meaningful impact is ever-present. Our team members continuously pursue personal and professional growth, empowered to spearhead change across people, processes, and products. True innovation stems from an insatiable desire for improvement, and everyone at EXANTE is committed to fostering this spirit and propelling the company into the future.

As a rapidly expanding global firm with over 600 talented employees from 65 nationalities across 70 locations, we are a frontrunner in the financial sector. Our investment priorities are clear: We prioritize investing in our most valuable asset - our people. Join us in shaping the future of finance.

About The Role

The Compliance Officer will oversee regulatory compliance for the firm's brokerage operations in the Middle East. This includes ensuring adherence to local and international regulations governing financial services, trading activities, anti-money laundering (AML), and client onboarding. The role also involves working closely with regulators (e.g., DFSA, ADGM, CMA, SCA) and internal stakeholders to build a robust compliance framework that protects the firm from legal and reputational risks.

Reporting Line: Global Head of Compliance

Worksite: Hybrid

Responsibilities:

Regulatory Compliance

• Ensure compliance with local financial regulatory bodies (e.g., DFSA, ADGM, SCA, CMA).
• Track, interpret, and implement changes in laws and regulations related to brokerage and financial services.
• Manage regulatory licensing, audits, inspections, and ongoing obligations.
  
  
  

AML/CTF Oversight

• Act as the appointed MLRO, ensuring full compliance with anti-money laundering and counter-terrorist financing regulations.
• Oversee KYC/CDD processes, suspicious activity monitoring, and reporting of SARs/STRs.
  
  
  

Brokerage Support

• Manage day-to-day operations of local entities and branches
• Handle client and regulatory external inquiries
• Support emerging matters for Exante worldwide
  
  
  

Internal Controls & Monitoring

• Develop and implement risk-based compliance monitoring programs and controls.
• Conduct regular reviews and testing of trading activities, client onboarding, and internal processes.
  
  
  

Policy & Procedure Management

• Draft, update, and implement compliance policies and procedures in line with regional and global standards.
• Advise internal departments (e.g., trading, client services, operations) on compliance obligations.
  
  
  

Training & Advisory

• Provide compliance training to employees, particularly front-office and trading teams.
• Serve as the point of contact for compliance queries across the business.
  
  
  

Reporting

• Report compliance risks, breaches, and key metrics to senior management and regulators.
• Maintain compliance records and prepare documentation for audits or regulatory inquiries.
  
  
  

Cross-Border Collaboration

• Align regional compliance practices with group/global compliance frameworks.
• Ensure the firm adheres to international regulations such as FATF, MiFID II (if applicable), and sanctions programs (e.g., OFAC, UN, EU).
  
  
  

Qualifications

• Bachelors degree in Finance, Economics, or a related field. A Master's or professional certification (e.g., ICA, ACAMS, CFA, CCO) is preferred.
• Minimum 5 - 8 years of compliance experience in a brokerage firm, investment firm, or financial services provider in the Middle East.
• Direct experience with Middle East regulators (e.g., DFSA, ADGM, SCA, CMA).
• Strong understanding of securities regulations, trading platforms, and brokerage operations.
• Familiarity with AML systems, sanctions screening, and regulatory reporting tools.
• Strong ethical judgment and high integrity.
• Proactive, detail-oriented, and able to manage multiple deadlines in a fast-paced environment.
• Ability to communicate compliance risks clearly to non-compliance professionals.
• Fluent in English (required); Arabic proficiency is a plus.
  
  
  

Personality / Mindset

• Integrity & loyalty
• Team player with advanced communication and collaboration skills
• A hands-on, can-do attitude - always looking for solutions and thinking out of the box
• Overachiever mentality
• Capability to work and succeed in the fast pace and ever-changing environment
  
  
  

We Offer*

• Competitive salary
• Corporate benefits (choose your preferred options)
• Truly inspiring culture, pleasant and informal work environment
• Ongoing education & training programs
• Opportunity to network and connect in the Corporate Events
• Global career opportunities
• Benefits/perks can vary depending on the nature of your employment with the company and the country where you work
  
  
  

A group of disruptive technology experts created EXANTE. With an impressive track record in the industry and knowledge of the markets, our systems are built to democratize access to global financial instruments for professional traders and institutional investors.