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Compliance Analyst
Tradition
Dubai, UAE
Full Time
Mid
1 months ago
KYC/AMLTrade SurveillanceScilaFiaTechRegulatory ComplianceDFSA Rules
Free
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KYC/AMLTrade SurveillanceScila
About the Role
Tradition is seeking a Compliance Analyst for their Dubai office. The role involves managing KYC/AML processes, trade surveillance, and providing compliance guidance. Requires knowledge of DFSA, FSRA, NFA rules, and UAE AML regulations.
Key Skills for This Role
KYC/AMLTrade SurveillanceScilaFiaTechRegulatory ComplianceDFSA Rules
Responsibilities
- Manage KYC/AML processes including client onboarding, periodic refreshes, and transaction monitoring
- Draft and maintain rate cards, brokerage agreements, and Give Up Agreements using FiaTech
- Undertake market abuse detection and trade surveillance using Scila tools
- Provide compliance guidance to Front Office and collaborate with FORC to deliver training
- Manage employee registrations with regulator and trading platforms (EUREX, CME, ICE, etc.)
- Monitor Personal Account Dealing (PA) and conduct regular reviews of conflicts of interest
- Handle client complaints, maintain records of breaches, and ensure timely resolution
- Support preparation of management reports and oversee compliance monitoring activities
- Assist with transaction reporting reviews, manage trade queries, and support project management
- Provide day to day compliance support, manage documentation, analyse trading data
Requirements
- Excellent interpersonal and communication skills
- Strong attention to detail
- Proactive and solution oriented mindset
- Strong understanding of compliance procedures and regulations including DFSA, FSRA, and NFA rules
- Solid knowledge of UAE Federal Decree Law on Anti Money Laundering
- Deep understanding of firm's products: equities, fixed income, energy and commodity derivatives, money markets
- Ability to read, interpret, and apply regulatory rules
Full Job Posting
Company Overview
- Tradition is the interdealer broking arm of Compagnie Financière Tradition and one of the world's largest interdealer brokers in over the counter financial and commodity related products.
- CFT is represented in over 28 countries, employing over 2,500 people.
- Tradition’s goal is to provide superior client services.
Main responsibilities within the Compliance Analyst position include:
- Manage KYC/AML processes, including client onboarding, periodic refreshes, and transaction monitoring, ensuring compliance with regulatory standards.
- Draft and maintain rate cards, brokerage agreements, and Give Up Agreements using FiaTech, ensuring alignment with regulatory requirements.
- Undertake market abuse detection and trade surveillance using Scila tools, ensuring compliance with regulations and best execution standards.
- Provide compliance guidance to the Front Office, collaborating with FORC to deliver training and support for regulatory best practices.
- Manage employee registrations with regulator and for trading platforms (EUREX, CME, ICE, etc.), ensuring compliance with local and international regulations.
- Monitor Personal Account Dealing (PA) and conduct regular reviews of conflicts of interest to mitigate regulatory risks.
- Handle client complaints, maintain records of breaches, and ensure timely resolution in line with regulatory requirements.
- Support in the preparation of management reports, oversee compliance monitoring activities, and ensure adherence to policies and procedures.
- Assist with transaction reporting reviews, manage trade queries, and support project management efforts related to compliance initiatives.
- Provide day to day compliance support, manage documentation, analyse trading data, and ensure continuous compliance with internal and regulatory standards.
Key skills, experience and competencies required to be successful in this role:
- Excellent interpersonal and communication skills, with the ability to engage effectively with internal teams, regulators, and external stakeholders, ensuring clear and concise compliance advice.
- Strong attention to detail in monitoring regulatory adherence and assessing compliance risks, with a proactive approach to identifying and mitigating potential issues.
- A proactive and solution oriented mindset, applying analytical skills and sound judgment to develop compliance solutions that effectively balance regulatory expectations with business objectives.
- Strong understanding of compliance procedures, best practices, and relevant regulations, including DFSA, FSRA, and NFA rules.
- Solid knowledge of the UAE Federal Decree Law on Anti Money Laundering and other local and international financial regulations, ensuring compliance with AML and other regulatory requirements.
- Deep understanding of the firm’s products, including equities, fixed income, energy and commodity derivatives, and money markets, and their regulatory implications.
- Ability to read, interpret, and apply regulatory rules, consultation papers, and legal documents, providing clear guidance on their application to business activities.
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