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

Key Responsibilities:

• Conduct compliance testing and monitoring reviews to ensure adherence to   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  egulatory 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 egulatory 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   regulatory requirements and client compliance issues
• Maintain and update regulatory registers
• Ensure compliance records are maintained in accordance with  record keeping requirements including regulatory registers
• Contributing to incident, error, and breach assessments and maintaining required registers

About you

• Bachelor’s degree in business administration, Finance, Law, or related field
• 3 – 5 years of experience in compliance preferably within  regulated firms
• Strong knowledge of financial laws and regulations within the  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

• Are you interested in this position?

   

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