Senior Compliance Analyst
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Key skills for this role
About the Role
Pepperstone seeks a Senior Compliance Analyst to support the Compliance team in ensuring regulatory compliance with DFSA and CMA frameworks.
Key Skills for This Role
Responsibilities
- Conduct compliance testing and monitoring reviews to ensure adherence to DFSA/CMA rules, internal policies, and regulatory obligations
- Answer or coordinate responses to queries from the business to resolve compliance related issues
- Ensure ongoing compliance with local and international laws, including timely regulatory and audit submissions
- Assist in developing and updating internal policies that reflect the DFSA/CMA regulatory environment
- Assist reviewal of Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ongoing client monitoring in adherence to UAE AML Rules
- Assist with the implementation of the transaction monitoring systems
- Collaborate with legal, risk, finance, operations, technology, and front office teams to embed compliance into strategic projects
- Assist with the collation of information for internal and external disputes
- Assist in drafting and maintaining compliance policies and procedures in accordance with DFSA and CMA regulatory requirements
- Monitor DFSA/CMA regulatory updates, consultation papers, and notices
- Conduct and manage investigations of unusual activity
- Provide day to day compliance guidance to internal stakeholders regarding DFSA/CMA regulatory requirements
Requirements
- Bachelor's degree in business administration, Finance, Law, or related field
- 3 5 years of experience in compliance preferably within DFSA or CMA regulated firms
- Strong knowledge of financial laws and regulations within the UAE region
- Experience in retail investments, trading, or retail financial services
- Strong analytical, problem solving, and stakeholder engagement abilities
- Excellent communication (written and verbal)
- High ethical standards, integrity, and transparency
Full Job Posting
The Role
- As a Senior Compliance Analyst, you will play a vital role in supporting the Compliance team to ensure our Firm consistently operates within the regulatory frameworks set by the DFSA and CMA.
- You will work closely with the Compliance Manager to uphold the firm's compliance monitoring program, bolster financial crime prevention measures, meet regulatory reporting requirements, and maintain a robust internal control environment.
Key Responsibilities
- Conduct compliance testing and monitoring reviews to ensure adherence to DFSA/CMA rules, internal policies, and regulatory obligations.
- Answer or coordinate the responses to queries from the business to resolve compliance related issues.
- Ensuring ongoing compliance with local and international laws, including timely regulatory and audit submissions.
- Assist in developing and updating internal policies that reflect the DFSA/CMA regulatory environment.
- Assists reviewal of Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and ongoing client monitoring in adherence to UAE AML Rules and Regulations.
- Assist with the implementation of the transaction monitoring systems.
- Collaborating with legal, risk, finance, operations, technology, and front office teams to embed compliance into strategic projects.
- Assist with the collation of information for internal and external disputes.
- Assist in drafting and maintaining compliance policies and procedures in accordance with DFSA and CMA regulatory requirements.
- Monitor DFSA/CMA regulatory updates, consultation papers, and notices.
- Conducting and managing investigations of unusual activity.
- Provide day to day compliance guidance to internal stakeholders regarding DFSA/CMA regulatory requirements and client compliance issues.
About you
- Bachelor's degree in business administration, Finance, Law, or related field.
- 3 5 years of experience in compliance preferably within DFSA or CMA regulated firms.
- Strong knowledge of financial laws and regulations within the UAE region.
- Experience in retail investments, trading, or retail financial services.
- Strong analytical, problem solving, and stakeholder engagement abilities.
- Excellent communication (written and verbal).
- Ability to manage complex compliance matters.
- High ethical standards, integrity, and transparency.
- Resilience and adaptability in fast paced environments.
- Interest and understanding of cryptocurrency.
Desirable
- Knowledge of AML and financial regulations across multiple jurisdictions.
- ICA, ACAMS, CISI or similar regulatory qualifications.
- Native Arab speaker.
Why you will enjoy working with us
- Competitive salary structure including company bonus scheme.
- Annual remuneration review.
- Employee referral bonuses.
- Genuinely collaborative and friendly culture.
- Flexible and hybrid working.
- Remote working option work from anywhere for up to 6 weeks per year.
- Ongoing personal development & learning opportunities.
- 3 paid volunteering days per year & Workplace Giving Program.
- Enhanced Sick leave policy.
- 20 days of paid vacation within the first year, increasing to 25 days after one year.
- Employee monthly & quarterly recognition programs.
- Regular events and celebrations.
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