Wio Bank Hiring for Compliance Officer at Abu Dhabi Full Time

About the role:

Wio’s Invest is an exciting new business and the first step towards achieving our goal of building a fintech ecosystem. The mission is to provide our clients with a frictionless and commission-free investing experience starting with US equities and ETFs with much more to follow.

We’re looking for a Compliance Lead who will be responsible for developing and maintaining compliance policies, and processes and ensuring compliance with all regulatory requirements. This means that your decisions will have a direct impact on our products & customers – so are you up for a challenge?

What you’ll be doing

• Ensuring ongoing compliance in accordance with corporate and legal obligations applying necessary controls, and ensuring adherence to regulatory requirements
• Building a relationship with SCA and other regulators, with proactive, transparent, and timely engagement
• Conduct regular reviews of trading activities and communications to identify potential market abuse, insider trading, and other compliance violations.
• Develop systems and processes to monitor our regulatory risk, compliance with regulatory requirements and internal policies, taking a data-led approach
• Lead regulatory applications for new licenses and updates on all regulatory changes
• Develop and maintain compliance policies, processes, and employee training arrangements
• Responsible for following up on the performance of the brokerage, its employees and the
• the extent of their compliance with the applicable legislation and bylaws
• Creating frameworks and processes regarding
• financing in accordance with the relevant legislations.

What are we looking for?

• Accredited by the Securities and Commodities Authority as a Compliance Officer (Mandatory)
• Strong understanding of financial regulatory frameworks (SCA, SEC, FINRA, etc.)
• Ability to interpret and apply complex regulatory guidelines
• Proficient in implementing and managing trade surveillance programs.
• Experience in managing relationships with product/front office and other teams
• Worked in Investment/Brokerage (FinTech/WealthTech a bonus)
• Experience with regulatory requirements for security and trading (ideally with local
• knowledge, or else a strong understanding of global markets such as US, UK, HK,
• Singapore etc.)
• Ownership, accountability & proactivity – you build it, you own it, you run it.
• Team player with a collaborating, sharing & learning mindset – share your knowledge, we will share ours.
• Strong collaboration and influence with internal and external partners
• Self-starter, able to work autonomously and as a team player – pitches in to help the wider team achieve compliance

What is in it for you?

• The opportunity to lead the Compliance function of the brokerage team.
• Joining a greenfield company and participating in early discussions to shape our Brokerage
• platform.
• Peering with talented colleagues coming from top-tier fintech companies from all over the
• world.
• Work-life balance is important to us so you would have 28 working days holidays + up to 15
• national holidays per year.
• Additional perks such as top private health & life insurance, flexible working hours, 3 days
• per week WFH policy, and many more to come!
• Working in an international environment, with employees from over 40 different nationalities.