Pepperstone
Fintech
SeniorComplianceAnalyst
“Senior Compliance Analyst at Pepperstone. Skills: DFSA/CMA rules, internal policies, regulatory obligations, DFSA/CMA Conduct of Business (COBs) rules, local and international laws, regulatory and audit submissions, Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), client monitoring, UAE AML Rules and Regulations, transaction monitoring systems, internal and external disputes, DFSA and CMA regulatory requirements, DFSA/CMA regulatory updates, consultation papers, notices, unusual activ”
Industry & Context.
analytical; problem-solving
What They're Looking For.
Must Have
3 - 5 years of experience in compliance preferably within DFSA or CMA regulated firms, knowledge of financial laws and regulations within the UAE region, Experience in retail investments, trading, or retail financial services, 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
Nice to Have
Knowledge of AML and financial regulations across multiple jurisdictions, ICA, ACAMS, CISI or similar regulatory qualifications, Native Arab speaker
What You'll Do.
Conduct compliance testing and monitoring reviews to ensure adherence to DFSA/ CMA rules
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
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
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
Maintain and update regulatory registers
Ensure compliance records are maintained in accordance with DFSA and CMA record keeping requirements including regulatory registers
Contributing to incident
and breach assessments and maintaining required registers
How You'll Work.
Team & Collaboration
Collaborating with legal, risk, finance, operations, technology, and front-office teams to embed compliance into strategic projects
Communication Scope
Excellent communication (written and verbal)
Applying for this Senior Compliance Analyst role?
Most applicants get filtered before a human reads their resume. See if yours makes the cut.
ANONYMOUS · UNFILTERED
What do employees actually say about Pepperstone?
Real rants from real employees. Read before you apply.