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
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Are you interested in this position?
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