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. The role involves compliance testing, policy development, AML monitoring, and stakeholder collaboration.
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 transaction monitoring systems
- Collaborate with legal, risk, finance, operations, technology, and front office teams to embed compliance into strategic projects
- Assist with 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
- Resilience and adaptability in fast paced environments
- Interest and understanding of cryptocurrency
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 Dubai Financial Services Authority (DFSA) and the UAE Capital Market Authority (CMA), as well as adhering to UAE laws and
- You will work closely with the Compliance Manager to uphold the firm's compliance monitoring program, bolster our 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 license activities comply with the DFSA/ CMA Conduct of Business (COBs) rules
- 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 for referring top talent to the company
- 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 of employment, increasing to 25 days after one year
- Employee monthly & quarterly recognition programs for outstanding performance and achievements
- Regular events and celebrations
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