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 adherence to DFSA and CMA regulations. The role involves compliance testing, monitoring, policy development, and financial crime prevention.
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 and Regulations
- 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 and client compliance issues
Requirements
- Bachelor's degree in business administration, Finance, Law, or related field
- 3 5 years of experience in compliance 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
- Knowledge of AML and financial regulations across multiple jurisdictions
- ICA, ACAMS, CISI or similar regulatory qualifications
- Native Arab speaker
Full Job Posting
The Role
- As a Senior Compliance Analyst, you will support the Compliance team to ensure the Firm operates within DFSA and CMA regulatory frameworks.
- You will work closely with the Compliance Manager to uphold the compliance monitoring program, bolster financial crime prevention, meet regulatory reporting, 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 responses to queries from the business to resolve compliance related issues ensuring license activities comply with DFSA/CMA Conduct of Business rules.
- 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 and Regulations.
- 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 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.
More about Pepperstone
- We're a regulated online Forex and CFD trading platform with the scale of a global fintech and the agility of a start up.
- We arm our clients with everything they need to take on the global markets with confidence.
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